This tool is built for investment managers, hedge funds and prop trading firms.
For fintechs, payments businesses and other regulated activities, the right starting point is a 30-minute call — the regulatory perimeter varies too much for a one-size tool to be useful.
Request a free 30-minute consultation and James will come prepared.
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Question 2 of 8
What is your current regulatory status?
This affects both your obligations now and what you need to build.
Question 3 of 8
How many people are in the firm?
Size affects the proportionality of compliance requirements and the type of CCO resource that makes sense.
Question 4 of 8
How is compliance currently handled?
Be honest — this helps identify the actual gap.
Question 5 of 8
Is there a named SMF 16 (Compliance Oversight) on your FCA register?
Most FCA-authorised investment firms (core firms under SMCR) must have an approved SMF 16. A gap should be closed promptly.
Question 6 of 8
How complex is the firm's regulatory profile?
Select all that apply — each adds to the compliance burden.
Question 7 of 8
What is the primary driver for thinking about CCO resource?
This helps identify the right type of engagement.
Question 8 of 8
Where is the firm on its growth path?
One factor among several in how a compliance structure tends to evolve.
This is not regulatory advice. The assessment below is indicative only, based on the information provided. Speak to a qualified compliance professional before making decisions about your firm's compliance arrangements.
Why a CCO with the right experience matters
What to look for
Recommended next step
Indicative figures only. The estimates below are based on James Lane's direct experience delivering FCA Part 4A authorisations for MiFID investment firms. Every application is different. These figures are starting points for planning — not guarantees or legal advice.