Services

services

From launch to long-term support

Whether you are seeking authorisation, building a compliance framework, or maintaining established arrangements, Novera Advisors provides clear, practical compliance support across the full regulatory life cycle for FCA and SEC regulated firms. Services are delivered by experienced consultants who remain closely involved, with a focus on judgement, consistency and long-term sustainability.

A strong application reflects how well regulatory expectations are understood and applied. Our approach focuses on clarity, completeness and credibility from the outset.

  • Assessment of your business model to determine appropriate authorisation scope and permissions
  • Preparation of Part 4A authorisation applications
  • Support with variations of permission and change in control applications
  • Development of tailored regulatory business plans
  • Guidance on prudential requirements and financial modelling
  • Provision of the compliance framework required to support authorisation
  • Support with FCA correspondence through to approval
  • Assessment of registration status and applicable exemptions
  • Preparation and filing of investment adviser and exempt reporting adviser registrations, including applicable Form ADVs
  • Support with SEC regulatory disclosures and representations
  • Support throughout the SEC registration process through to effectiveness

Compliance obligations continue well beyond authorisation. We support firms in maintaining effective arrangements through consistent attention and informed guidance as issues arise.

  • Periodic reviews against applicable regulatory obligations
  • Testing of controls and governance arrangements
  • Identification of control gaps and emerging risks
  • Clear, practical recommendations supported by concise written reports
  • Preparation of periodic regulatory filings, including FCA returns and ongoing SEC submissions
  • Support with Form ADV updates and other applicable filings
  • Tracking of deadlines and submission requirements
  • Drafting and review of compliance manuals and policies
  • Updating frameworks to reflect regulatory change and business development
  • Policies and procedures aligned to how the business operates in practice
  • Direct day-to-day access to experienced consultants
  • Provision of clear, practical guidance as issues arise
  • Advice on the impact of regulatory change on firms’ business models

Regulatory requirements, business change and supervisory focus continue to evolve. We support firms with targeted compliance projects and independent reviews to assess arrangements, address specific regulatory priorities, and strengthen frameworks where needed.

  • Independent review of existing compliance arrangements
  • Assessment against applicable regulatory requirements and recognised industry standards
  • Identification of key risks, gaps, and areas for improvement
  • Prioritised remediation actions supported by clear findings
  • Simulated FCA supervisory visits and SEC examinations
  • Review of documentation, governance, and control frameworks
  • Testing of readiness for regulatory interaction
  • Practical feedback to support effective preparation
  • Implementation support for new and evolving regulatory requirements
  • Translation of regulatory change into practical, workable actions
  • Support aligned to firms’ business models and risk profiles
  • Review and design of AML and financial crime frameworks
  • Risk assessments and control enhancement
  • Support aligned to applicable regulatory and legislative obligations

Effective compliance depends on informed and confident teams. We deliver practical, relevant training that strengthens understanding, supports consistent application and builds internal regulatory capability over time.

  • SM&CR and Conduct Rules
  • Market abuse and insider dealing
  • Anti-money laundering and financial crime
  • Financial promotions and marketing rules
  • Conflicts of interest and broader business conduct matters
  • Product Governance and Consumer Duty
  • Regulatory developments affecting firms’ business activities
  • Other regulatory and compliance matters relevant to firms’ activities