FCA Reporting Done
On Time, Every Time

Regulatory submissions carry real consequences if they are missed or incorrect. We manage them on your behalf so nothing is overlooked.

FCA Reporting

The FCA requires every authorised advice firm to submit a range of regulatory returns and notifications on an ongoing basis. Some are time-critical. Some are triggered by changes within your business. All of them carry the expectation that they will be accurate, complete, and submitted within the required timeframe. Falling short on any of these counts can attract regulatory scrutiny, result in intervention from the FCA, and in serious cases contribute to broader supervisory concerns about how a firm is being managed.

For business owners who are also managing clients, advisers, and the day-to-day demands of running a firm, keeping on top of every FCA reporting obligation is a significant and often underestimated responsibility. Requirements change, deadlines vary, and the consequences of an error or a missed submission are not always immediately visible but can have lasting implications for a firm’s relationship with its regulator.

We manage your FCA reporting obligations on your behalf, ensuring that every submission is accurate and made on time. Our approach is not simply to complete the paperwork. We make sure that the information being submitted to the FCA accurately reflects the reality of your firm, that the right people within the business are informed of what has been submitted and when, and that your regulatory record remains clean and up to date.

RegData Submissions

RegData returns are used by the FCA to monitor the financial health, conduct, and risk profile of the firms it supervises. The specific returns your firm is required to submit will depend on its permissions and business activities, but failing to submit on time or submitting inaccurate data are both treated seriously by the regulator.

We manage your RegData submissions on your behalf, ensuring that the correct returns are completed accurately and submitted within the required deadlines.

Directory Persons Notifications

The Financial Services Register provides consumers and the FCA with the ability to verify the identity of key personnel at the firm and confirm what advice their advisers are authorised to give to their clients.

We manage your Directory Persons notifications on your behalf, ensuring that new starters are added promptly, that any changes to individuals’ roles or status are reflected accurately, and that leavers are removed from the register on time.

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Variation Of Permissions

As your firm evolves, there may be occasions when you need to change the regulated activities you are authorised to carry out, whether that means adding new permissions to reflect a change in your business model or removing permissions that are no longer relevant. A Variation of Permissions application requires careful preparation and a clear understanding of what the FCA expects to see in support of the request.

We manage Variation of Permissions applications on your behalf, preparing the supporting documentation, ensuring that the application accurately reflects the change being requested and the reasons for it, and liaising with the FCA through the process. Getting this right the first time matters; incomplete or poorly prepared applications can delay the process significantly and, in some cases, prompt wider questions from the regulator about how the firm is being run.

Keeping Your Regulatory Record Clean

Beyond the individual submissions and notifications, there is broader value in approaching FCA reporting as an ongoing programme of work rather than a series of one-off tasks. Firms that manage their reporting obligations well, submitting accurate information on time and maintaining clear records of what has been submitted and when, build a regulatory record that stands them in good stead if the FCA ever chooses to look more closely at their business.

Firms that treat reporting as an administrative afterthought, or that find themselves making late or amended submissions regularly, create a pattern that can attract exactly the kind of supervisory attention they would rather avoid. We ensure that your firm’s approach to FCA reporting is structured, consistent, and properly evidenced, giving you confidence that your regulatory record accurately reflects a well-run business.

Senior Management & Certified Function Appointments

The Senior Managers and Certification Regime places clear obligations on firms when it comes to the appointment of individuals to Senior Management Functions and Certified Functions. Every appointment requires the firm to carry out appropriate due diligence, complete the necessary regulatory notifications, and maintain clear records of the process followed. The FCA expects firms to be able to demonstrate that they have assessed the fitness and propriety of the individuals they are appointing, and that the right notifications have been made promptly.

We manage the regulatory notification process for Senior Management and Certified Function appointments on your behalf, ensuring that the correct forms are submitted, that the supporting information is complete and accurate, and that the firm’s internal records of the appointment process are properly documented. We also support the annual Fit and Proper assessment process, ensuring that your firm meets its ongoing obligations in relation to the individuals currently holding these functions.

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If you would like to discuss how Advice Firm Compliance Ltd can manage your FCA reporting obligations, please get in touch. We are happy to have an initial conversation about your firm’s current arrangements and where support might be needed, with no obligation.

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What Our Customers Have To Say

  • Ian has taken a significant burden off our shoulders since we began working together in 2025. Having been referred by a trusted advisor, the experience has been seamless—informative, straightforward, and, most importantly, consistently reliable. His expertise and flexibility, particularly in adapting to and enhancing our systems and processes, have made him a pleasure to work with. I move forward with real confidence that our business is well-positioned within a highly regulated environment.

    Simon Munday

Let’s Talk About Your Firm’s Compliance

If you would like to find out how Advice Firm Compliance Ltd can support your firm, please get in touch. We are happy to have an initial conversation about your compliance requirements with no obligation.

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Let’s Talk About Your Firm’s Compliance

If you would like to find out how Advice Firm Compliance Ltd can support your firm, please get in touch. We are happy to have an initial conversation about your compliance requirements with no obligation.

Get in touch