SERVICES
Monitoring, reviews and healthchecks
Targeted compliance reviews and healthchecks for investment and asset management firms that want clearer visibility of how their arrangements are working in practice.
Testing whether compliance arrangements work in practice
Policies, procedures and controls only provide value if they are operating effectively. As firms grow, change or prepare for external scrutiny, senior management often needs a clearer view of whether compliance arrangements remain suitable, evidenced and proportionate.
Catapalt supports firms with targeted monitoring, independent reviews and practical healthchecks that identify gaps, prioritise actions and help strengthen the compliance framework.
WHAT WE SUPPORT
Focused reviews that turn findings into practical action
Monitoring and review work should give firms useful insight, not just a list of observations. Catapalt helps firms assess specific areas of their compliance framework and translate findings into clear, prioritised next steps.
Compliance monitoring
Supporting planned or targeted monitoring activity to assess whether policies, procedures and controls are being followed in practice.
Independent healthchecks
Reviewing selected areas of the compliance framework to identify gaps, inconsistencies, outdated documentation or control weaknesses.
Thematic reviews
Assessing specific risk areas, activities or regulatory themes where senior management wants a clearer view of current arrangements.
Governance and oversight reviews
Reviewing committee materials, management information, decision records and oversight arrangements to assess whether governance is properly evidenced.
Policies, procedures and records
Testing whether written procedures, records and supporting evidence align with the way the firm actually operates.
Findings and remediation planning
Helping firms prioritise findings, assign ownership and develop practical remediation plans that can be tracked through to completion.
JURISDICTION COVERAGE
Review support across UK and US frameworks
Catapalt supports investment and asset management firms with monitoring, review and healthcheck work across UK and US regulatory frameworks, helping firms assess whether their compliance arrangements remain practical, evidenced and fit for purpose.
United Kingdom
For firms operating under the UK regulatory framework, support may include compliance monitoring, governance reviews, policy and procedure healthchecks, supervisory-readiness reviews and follow-up remediation planning.
- Compliance monitoring reviews
- Governance and oversight healthchecks
- Policies, procedures and records
- Supervisory-readiness reviews
- Remediation planning and tracking
United States
For firms operating under US regulatory frameworks, support may include compliance programme reviews, testing support, books and records reviews, policies and procedures healthchecks and examination-readiness support.
- Compliance programme reviews
- Testing and monitoring support
- Books and records reviews
- Policies and procedures healthchecks
- Examination-readiness support
HOW CATAPALT WORKS
Clear scope, practical findings and prioritised next steps
Effective review work starts with a clear scope and ends with actions the firm can actually implement. Catapalt focuses on practical outputs that help senior management understand the issue, the evidence and the required response.
01
Define the review scope
We agree the area to be reviewed, the relevant obligations, the documents and records to assess, and the level of assurance the firm needs.
02
Assess the evidence
We review the relevant policies, procedures, records, controls and governance materials to identify gaps, inconsistencies or areas for improvement.
03
Prioritise remediation
We help translate findings into practical actions, with clear ownership, sequencing and tracking so issues can be addressed proportionately.
COMMON TRIGGERS
When firms typically need monitoring, reviews or healthchecks
Firms usually seek review support when they need greater confidence in their compliance arrangements, are preparing for scrutiny, or want an independent view before issues become more difficult to address.
- The firm wants assurance that controls are operating effectively
- Policies or procedures may no longer reflect current practice
- Senior management wants clearer evidence of oversight
- A specific compliance area needs targeted review
- The firm is preparing for investor, board or regulatory scrutiny
- Previous issues or findings need follow-up
- The business has grown or changed significantly
- The firm wants to prioritise remediation work
Need a clearer view of how your compliance arrangements are working?
Tell us what area you want to review, what has changed and what level of assurance you need. We will help you assess the evidence, identify practical gaps and prioritise the next steps.