Services

Methuen Consulting provides compliance services to investment managers, investment advisers, investment
arrangers/ advisers, venture capitalists, corporate financiers, broker/dealers, principal traders, operators of unregulated collective investment schemes, custodians of client assets and to businesses wishing to apply for FCA authorisation to undertake these activities.

In terms of Prudential Category, our clients include BIPRU firms, IFPRU firms, AIFMs (full-scope and small), Exempt CAD firms, and Exempt MiFID firms

Please choose one of the categories below to see details of the services relevant to your business.
  • Applicants for FS Authorisation
  • Firms Newly Authorised by the FCA
  • FCA-Authorised Firms

We offer the following services to businesses wishing to apply for FCA authorisation:

Applications for FCA Authorisation

We advise and assist businesses in the whole process of applying for FCA authorisation.
This includes advice and assistance in:
  • identifying the appropriate forms that need to be completed
  • completing the application forms
  • preparing Regulatory Business Plans
  • determining an applicant`s prudential category and capital requirement
  • preparing financial budgets/forecasts
  • dealing with questions raised by the FCA

    • Compliance Documentation

    We prepare the following compliance documentation:
  • Compliance Procedures Manuals
  • Compliance Monitoring Programmes
  • Business Continuity Plans
  • Checklists of Compliance Files, Records and Documents
  • Checklists of Contents of Customer Agreements
  • Anti-Bribery Policies and Procedures Statements

    • Anti Money Laundering Training

    We offer initial and refresher training to applicants’ personnel (including the Money Laundering Reporting Officer) on the law on money laundering, the Money Laundering Regulations and the FCA's money laundering prevention requirements.

    Compliance Training Services

    We provide applicants' personnel with tailored training in all aspects of FCA regulation and compliance.

    Financial Controller Services

    We provide the following Financial Controller Services to applicants:
  • Setting up accounting systems
  • Establishing and documenting accounting and financial controls and procedures
  • Arranging VAT registration
  • Setting up payrolls


    • For more information about any of the services listed above please contact us.



    We offer the following services to firms which have recently been authorised by the FCA:

    Setting up Compliance Arrangements

    We advise and assist newly authorised firms on setting up their compliance arrangements, including their compliance files and records, from the outset of being authorised.

    Anti Money Laundering Training

    We offer initial and refresher training to newly authorised firms' personnel (including the Money Laundering Reporting Officer) on the law on money laundering, the Money Laundering Regulations and the FCA’s money laundering prevention requirements

    On-site Compliance

    We provide newly authorised firms with the services of a consultant who visits their offices on a periodic basis to ensure that the whole range of their compliance obligations are met on an on-going basis, including undertaking the compliance monitoring in accordance with their Compliance Monitoring Programmes.

    Compliance Training

    We provide newly authorised firms' personnel with tailored training in all aspects of FCA regulation and compliance.

    FCA Financial Returns

    We advise and assist newly authorised firms in logging on to the FCA’s proprietary electronic financial reporting system called Gabriel. We prepare, or give advice in relation to the preparation of, the Data Item forms that authorised firms are required to submit to the FCA on a quarterly, six monthly and annual basis.
    We submit the completed forms via Gabriel.

    Financial Controller Services

    We provide the following Financial Controller Services to newly authorised firms:
  • Setting up accounting systems
  • Establishing and documenting accounting and financial controls and procedures
  • Maintaining accounting records
  • Preparing monthly management accounts
  • Arranging VAT registration
  • Preparing quarterly VAT returns
  • Setting up payrolls
  • Maintaining and administering payrolls


    • For more information about any of the services listed above please contact us.



    We offer the following services to FCA-authorised firms:

    Compliance Documentation

    We prepare the following compliance documentation:
  • Compliance Procedures Manuals
  • Compliance Monitoring Programmes
  • Business Continuity Plans
  • Checklists of Compliance Files, Records and Documents
  • Checklists of Contents of Customer Agreements
  • Anti-Bribery Policies and Procedures Statements


    • We also review and update/upgrade authorised firms’ existing Compliance Procedures Manuals
    and Compliance Monitoring Programmes.

    Compliance Advice

    We provide strategic and routine compliance advice and assistance to authorised firms across the whole range of FCA regulation, including in relation to:
  • the application of specific FCA requirements
  • the compliance implications of business plans or developments being considered by the Firm
  • proposed and actual FCA rule changes which are relevant to the Firm and its business, and on the action that needs to
    • be taken to ensure that the Firm complies with such new requirements
  • making an application for the variation of the Firm’s permitted business
  • seeking approval for a change in the Firm’s Controller(s)
  • Prudential Category and financial resources and financial return issues
  • the preparation of ICAAP Reports (BIPRU and IFPRU firms only)
  • Making passporting applications


    • Money Laundering Prevention

    We provide the following range of money laundering prevention services:
  • Providing initial and refresher training to authorised firms' personnel (including their Money Laundering Reporting Officers) on the law on money laundering, the Money Laundering Regulations and the FCA's money laundering prevention requirements
  • Providing ad-hoc advice to authorised firms on meeting the FCA's money laundering prevention requirements
  • Undertaking reviews of authorised firms' money laundering prevention procedures and practices
  • Carrying out investigations for money laundering prevention purposes into the identity of authorised firms' prospective
    • clients and the source of their funds
  • Preparing the Money Laundering Reporting Officer’s annual report to the Firm’s directors/partners


    • On-site Compliance

    We provide authorised firms with the services of a consultant who visits their offices on a periodic basis to ensure that the whole range of their compliance obligations are met on an on-going basis, including undertaking the compliance monitoring in accordance with their Compliance Monitoring Programmes.

    Compliance Training

    We provide authorised firms’ personnel with tailored training in all aspects of FCA regulation and compliance.

    FCA Financial Returns

    We advise and assist authorised firms in logging on to the FCA's proprietary electronic financial reporting system called Gabriel.
    We prepare, or give advice in relation to the preparation of, the Data Item forms that authorised firms are required to submit to the FCA on a quarterly, six monthly and annual basis.
    We submit the completed forms via Gabriel.

    Financial Controller Services

    We provide the following Financial Controller Services for authorised firms:-
  • Establishing and documenting accounting and financial controls and procedures
  • Maintaining accounting records
  • Preparing monthly management accounts
  • Preparing quarterly VAT returns
  • Maintaining and administering payrolls


    • For more information about any of the services listed above please contact us.