Regulatory reporting and advisory services

What Buzzacott can offer your business:

• Prudential reporting - including the calculations and preparations of regulatory returns that sit under the MIFID and AIFMD legislations 
• Annex IV reporting - under the Alternative Investment Fund Managers Directive (AIFMD), including multi-jurisdictional reporting across all jurisdictions in the EU
• Form PF, CPO-PQR reporting service
• Advisory services on the set-up of appropriate capital structuring
• Advisory services relating to financial adequacy rules under both MiFID and AIFMD specifically for firms operating as ‘Collective Portfolio Management Investment’ firms
• Preparation of ‘Internal Capital Adequacy and Risk Assessment’ process documentation (ICARA) in compliance with MIFIDPRU 7, including detailed financial projection and stress testing analysis, including reverse stress testing 
• Consultation and preparation of ‘wind down plans’ as per the FCA’s guidance set out in the ‘WDPG’ 
• Preparation of complex monitoring workbooks tailored to the investment firm’s needs, monitoring of capital and liquidity adequacy, including metrics under the ‘Overall Financial Adequacy Rule’ 
• Supporting FCA authorisation and variation of permission (VoP) applications, especially regarding financial projections, stress testing, ICARA and wind-down plan documentation.
• Preparation of public disclosures along with the application of remuneration codes
• Consultation on SM&CR, liquidity policies, close links & controllers reporting, remuneration policies etc.
• Support with CASS compliance

                                Priya Mehta, Partner

                       Edward Fullard, Associate Director

                             Angus Peagam, Senior Manager