Experienced Management Consulting
Helping investment management and broking businesses manage risk, enhance controls and implement regulatory change.
Why FGA?
We have unique expertise from over 45 years combined working on both the buy and sell side.
Our direct business experience means FGA can provide a greater level of understanding, insight and efficiency then most larger consulting firms. We strive to offer the highest level of service tailored to your needs.
A Wealth of Experience
Chris and I have a wealth of experience in Client Strategy, Commission & research management, regulatory change implementation and FO risk and controls assurance across both buy and sell side. We are part of AFME working group and joint association discussions focused on enhancing the investment research market in UK. Our extensive industry network ensures we are well informed as to how firms are responding to regulatory change, helping our clients to keep ahead of the curve.
Our focus
Our current focus is responding to the UK & EU regulators roll back of MiFID II rules relating to research payments. We have been assisting a range of buy side firms in assessing the significant potential benefits of adopting joint payments and CSAs as well as addressing concerns. With our extensive industry network, and part of the AFME Research group and joint association discussions, we are at the forefront of developments in this space.
We also offer expertise in analysing and enhancing 1LoD Control frameworks, testing and assurance, including RCSA, policy and procedure reviews.
As we have many years direct business experience in these areas, we aim to help you enhance your governance structures and streamline implementation of regulatory changes to enable you to maximise the growth and development of your business.
LATEST NEWS:
Our latest assessment of industry progress in adopting joint payment rule changes, published by Integrity Research
https://www.integrity-research.com/the-slow-march-towards-csas/
May 2025: FCA PS25/04 permits research budgeting 'at appropriate level' for pooled funds in line with PS24/9
April 2025: ESMA published its Technical Advice to EC on changes to national regulations to incorporate joint payments by 6th June 2026, following changes to Listings Directive in Dec 2024.
Are you ready to take advantage of making or receiving bundled payments for research again?
Contact Us:
Many firms are already undertaking projects to prepare to adopt joint payments and operate CSAs. Don't be left behind.
Contact us to discuss benefits of joint payments for your business. We look forward to working with you.
FGA Consulting Limited