Can you act as our CCO or MLRO?

Yes. We provide fractional SMF16 and SMF17 support, either as your named officer or supporting your existing team.

Do you work on a retainer or ad hoc?

Both. 82% of our clients are on a retainer, but we also deliver one-off healthchecks, audits, returns and applications.

Which firms do you support?

Primarily AIFMs and investment managers, plus advisory firms, lenders, Annex 1 businesses and other FCA-regulated or MLR-registered firms.

What is the Fundsure Portal?

Our compliance platform, built and run by practising compliance officers: training, compliance monitoring, attestations, conflicts, personal account dealing, registers, fit and proper, policies and the report to your board, with your FCA permissions and the Handbook watched every week. Every module is included with a retainer.

How quickly can you start?

Usually within days. Book a consultation and we will scope your needs and propose a fixed fee.

Compliance & Regulatory Consulting: Fractional CCO & MLRO

What we do

From fractional CCO to one-off reviews

Take a full retained relationship or a single project. We specialise in AIFMs but support advisory firms, lenders and Annex 1 businesses too.

Fractional CCO

We act as your part-time Compliance Officer, supporting SMF16/17s: monitoring, policies and procedures, Fit and Proper assessments, SMF applications, attestations, best execution testing and regulatory returns.

Support to CCO / team

Retained support to your existing Compliance Officer or team: ad-hoc queries, compliance monitoring, reviewing financial promotions, Variations of Permission and annual audits.

MIFIDPRU returns

We prepare or check MIFIDPRU calculations for RegData returns from your balance sheet, P&L and AUM figures, quarterly, for you to review and submit.

Compliance healthcheck

A healthcheck of your whole business or part of it. We specialise in AIFMs and the SYSC, FUND, COLL, COBS and MIFIDPRU sections of the FCA Handbook.

Risk management

Business-wide and customer risk assessments, and comprehensive Three Lines of Defence audits to safeguard investors and enhance accountability.

Regulatory reporting

Annex IV and MDP extracts to the FCA under AIFMD, plus RegData and Connect submissions handled with precision.

Governance

Reliable governance frameworks aligned to the FCA Handbook, including attending and advising board meetings and drafting minutes.

Annex 1 firms

Specialist MLR support for FCA Annex 1 financial institutions such as lenders: annual compliance report, MLRO support, risk assessments, policy reviews, training and independent AML audits.

Run on the Fundsure Portal

A compliance officer, and the system they run on

Every retained client works in the Fundsure Portal, built and run by the same SMF16 and SMF17 holders who support them. It is not software you are left to fill in: we do the work in it with you.

We prepare, you sign off

Monitoring, attestations and registers are worked in your portal. What we prepare waits for your compliance officer's sign-off, and the record shows who did each part.

Nothing moves unnoticed

Your permissions on the FCA Register and the Handbook rules under your tests and policies are checked every week, and a change reaches you with what to do about it.

The board report writes itself

A quarterly compliance report built from everything in the portal, with what needs attention leading, ready for the board papers.

See the Fundsure Portal

Monitoring results prepared by Fundsure, waiting for the firm's compliance officer to sign off

FAQ

Your compliance function, handled