Existing Firms
Strengthen the institution after authorisation.
Authorisation is the beginning of the regulatory relationship, not the end of it. RegNexus helps authorised firms keep governance, evidence and financial resources aligned with how the business actually operates.
After authorisation
The institution the FCA authorised and the institution operating a year later are rarely the same. Volumes change, products change, people change — and the regulatory position has to keep pace.
RegNexus supports authorised firms across the areas supervision most often tests. Some capabilities are available today; others are delivered through a managed engagement or are planned. We are explicit about which is which, so you know what runs in the platform and what is delivered alongside it.
Where we help
Ten areas supervision tests most.
Each area is labelled with how it is delivered — available in the platform, through a managed engagement, or planned.
Policy review
Review policies against the current permission and business model, and identify where they no longer hold.
Variation of permission
Prepare a variation of permission when the firm changes activities, thresholds or scope.
Governance remediation
Close gaps in board composition, committees, responsibilities and reporting after authorisation.
Evidence gaps
Find requirements that are no longer evidenced, and rebuild the evidence position.
Financial resources review
Re-test capital, own funds, liquidity and wind-down against the firm as it now operates.
Safeguarding review
Review the safeguarding design, reconciliation and float against current volumes.
Operational resilience
Assess important business services, impact tolerances and the resilience of the operating model.
Supervisory readiness
Prepare for supervisory engagement — the questions, the evidence and the narrative.
Board reporting
Structured board reporting and management information, connected to the governance model.
Regulatory change
Track regulatory change and assess its impact on the firm's obligations and controls.
Available runs in the platform today. Managed engagement is delivered with qualified support. Planned is on the roadmap and not yet live. Professional judgement is retained throughout.
One institutional model
The same model that builds the application maintains it.
Because the firm's governance, financials and evidence live in one model, keeping them current after authorisation uses the same engines that produced them.
Governance
Keep board, committees and responsibilities current.
Financial
Re-test capital, own funds and liquidity as the firm scales.
Evidence
Maintain the evidence position as requirements and dates move.
Review
Re-run challenge before a variation or supervisory engagement.
Operate every day
Safeguarding is a daily obligation, not an annual one.
Safeguard runs a controlled daily safeguarding cycle — reconciliation, exceptions, two-person approval and an immutable audit trail.
Keep the institution aligned with how it actually operates.
Request an institutional briefing to discuss where your firm stands and where RegNexus can help.