Regulatory Guidance & Governance
FCA applications, variations of permission, regulatory gap analysis, Consumer Duty and proportionate governance.
Commercial insight and regulatory understanding, built on over 25 years of investment and executive experience. Helping financial services firms turn ambitious ideas into workable propositions.
From FCA authorisations and product governance to investment propositions and distribution, we help firms navigate the decisions that matter.
FCA applications, variations of permission, regulatory gap analysis, Consumer Duty and proportionate governance.
Investment propositions, product development, target markets, product documentation and ongoing oversight.
Intermediary distribution, partnerships and arrangements that work commercially and meet regulatory responsibilities.
Business planning, new initiatives, operating models and practical implementation support.
An initial discussion helps us understand your objectives and whether we can add value — with no obligation to proceed.
We agree the scope, approach and fees before any chargeable work begins.
Let's Talk
His career has spanned investment management, the development and distribution of investment products, and senior executive leadership. He has established and grown investment businesses, held CEO and board-level responsibilities, and overseen regulatory governance and risk management.
This combination of commercial, operational and regulatory experience gives him a practical understanding of the challenges financial services firms face when developing new propositions, managing regulatory obligations and delivering sustainable growth.
Based in Yorkshire, working with financial services businesses across the UK.
Whether you’re developing an investment proposition, addressing a regulatory challenge or seeking an experienced perspective, we’d be pleased to hear from you.