All FCA and PRA regulated firms in the UK are subject to prudential regulation under different regimes depending on the type of financial services they provide.
Whether your firm is a bank, brokerage house, fund manager, investment adviser, authorised payment services provider, e-money issuer, debt management firm or peer-to-peer lending platform, you are required to maintain suitable policies, processes, systems and controls to manage risk and hold appropriate capital and liquidity resources to meet financial adequacy.
Your firm's prudential category determines the level of obligation you have to comply with, including the documentation to be maintained and updated regularly and your reporting requirements.
Moore Stephens has the expertise and knowledge to help all types of firms with setting up, reviewing and testing the appropriate compliance infrastructure to meet all prudential obligations.
We provide regulatory support and advice on prudential regulation to help firms  define and establish a solid risk management framework, the basis for the calculation and assessment of own funds and liquidity requirements and perform  assurance reviews of your capital adequacy, liquidity risk and financial reporting.