SERVICES
Ongoing compliance
Structured compliance support for investment and asset management firms once they are authorised, registered and operating.
Keeping compliance structured, evidenced and moving
Once a firm is operating, compliance needs to become part of the rhythm of the business. Obligations need to be monitored, decisions documented, filings tracked and regulatory developments assessed in a way that is practical and proportionate.
Catapalt supports firms with ongoing compliance arrangements that help senior management stay informed, organised and ready to respond.
WHAT WE SUPPORT
Practical support for day-to-day compliance
Ongoing compliance needs to be organised enough to evidence control, but practical enough to work inside the business. Catapalt helps firms maintain the core compliance arrangements, records and advisory support needed after launch.
Compliance calendars and obligations
Maintaining clear visibility of recurring regulatory obligations, internal deadlines, filings, reviews and governance actions.
Policies and procedures
Keeping compliance documentation current, practical and aligned with the firm’s activities, operating model and regulatory expectations.
Monitoring and advisory support
Supporting day-to-day compliance questions, issue spotting, monitoring activity and practical regulatory interpretation.
Governance and senior management reporting
Helping firms evidence oversight through structured reporting, decision records, management information and governance support.
Regulatory developments
Tracking relevant regulatory change and helping firms assess what it means for their policies, controls and operating practices.
Compliance records and evidence
Helping firms maintain the records, logs and evidence needed to demonstrate that compliance arrangements are operating in practice.
JURISDICTION COVERAGE
Ongoing obligations across UK and US frameworks
Catapalt supports firms operating across UK and US regulatory frameworks, helping them maintain practical compliance arrangements after authorisation, registration or launch.
United Kingdom
For firms operating under the UK regulatory framework, ongoing compliance support may include regulatory calendars, policies and procedures, governance support, monitoring activity, training, reporting and preparation for FCA engagement.
- Compliance monitoring and oversight
- Policies, procedures and records
- Governance and senior management reporting
- Regulatory change tracking
- FCA engagement and supervisory readiness
United States
For firms operating under US regulatory frameworks, ongoing compliance support may include compliance programme maintenance, regulatory filings coordination, policies and procedures, testing, books and records support and preparation for SEC, CFTC or NFA engagement.
- Compliance programme maintenance
- Policies, procedures and books and records
- Regulatory filings coordination
- Testing and monitoring support
- SEC, CFTC and NFA examination readiness
HOW CATAPALT WORKS
Structured support that fits the way the firm operates
Ongoing compliance works best when responsibilities, evidence and actions are clear. Catapalt helps firms turn regulatory obligations into practical routines that support the business without creating unnecessary complexity.
01
Understand the operating model
We start by understanding the firm’s activities, governance structure, regulatory permissions or registrations, client base, products and existing compliance arrangements.
02
Maintain the compliance framework
We help organise the policies, calendars, controls, records and reporting needed to keep the compliance framework current and usable.
03
Support oversight and action
We support senior management with practical advice, clear outputs and follow-up actions so compliance issues can be addressed before they become larger problems.
COMMON TRIGGERS
When firms typically need ongoing compliance support
Firms usually seek ongoing compliance support when internal capacity is stretched, obligations are becoming more complex, or senior management wants greater confidence that compliance arrangements are operating effectively.
- The firm has launched and needs ongoing compliance infrastructure
- Internal compliance capacity is limited or stretched
- Policies and procedures need updating
- The business is adding new products, strategies or client types
Senior management needs clearer compliance reporting
Regulatory obligations or filings are becoming harder to track
The firm wants better evidence of monitoring and oversight
There is upcoming investor, board or regulatory scrutiny
Need ongoing compliance support that fits the way your firm operates?
Tell us how your firm is structured, where you operate and what support you need. We will help you identify practical next steps for maintaining clear, evidenced and proportionate compliance arrangements.