SERVICES
Examination readiness and remediation
Support for investment and asset management firms preparing for regulatory scrutiny or responding to findings, gaps and remediation actions.
Preparing for scrutiny and responding with confidence
Regulatory examinations, supervisory enquiries, investor due diligence and internal reviews can place significant pressure on a firm’s compliance arrangements. Firms need to understand the issues, organise the evidence and respond in a way that is clear, practical and proportionate.
Catapalt helps firms prepare for scrutiny, assess gaps, organise responses and turn findings into prioritised remediation actions that can be tracked through to completion.
WHAT WE SUPPORT
Practical support before, during and after scrutiny
Examination readiness and remediation work should help firms organise the evidence, understand the issues and respond with clear, prioritised actions. Catapalt supports firms with preparation, response coordination and practical remediation planning.
Examination readiness
Helping firms prepare for regulatory examinations, supervisory enquiries, investor due diligence or other external scrutiny.
Evidence organisation
Supporting the collection, review and organisation of policies, procedures, records, governance materials and supporting evidence.
Gap assessment
Reviewing current arrangements to identify gaps, weaknesses, inconsistencies or areas where evidence may not support the firm’s position.
Response coordination
Helping firms manage information requests, internal inputs, response timelines, review points and senior management oversight.
Remediation planning
Turning findings into practical remediation actions with clear ownership, sequencing, evidence and tracking.
Follow-up and closure
Supporting firms as remediation actions are implemented, documented and closed in a way that demonstrates progress and accountability.
JURISDICTION COVERAGE
Readiness and remediation across UK and US frameworks
Catapalt supports investment and asset management firms preparing for regulatory, investor or internal scrutiny across UK and US frameworks, helping firms organise evidence, assess gaps and manage remediation actions.
United Kingdom
For firms operating under the UK regulatory framework, support may include preparation for FCA supervisory engagement, evidence organisation, governance records, compliance reviews, remediation planning and follow-up action tracking.
- FCA supervisory-readiness support
- Evidence and records organisation
- Governance and oversight materials
- Gap assessment and remediation planning
- Follow-up action tracking
United States
For firms operating under US regulatory frameworks, support may include SEC, CFTC or NFA examination readiness, books and records support, response coordination, gap assessment and remediation tracking.
- SEC examination-readiness support
- CFTC and NFA examination preparation
- Books and records organisation
- Response coordination and review
- Remediation planning and tracking
HOW CATAPALT WORKS
Structured preparation, practical response and tracked remediation
Scrutiny is easier to manage when the firm has a clear view of the evidence, the issues and the actions required. Catapalt helps firms prepare, respond and remediate in a structured way that supports senior management oversight.
01
Organise the evidence
We help identify and organise the relevant policies, procedures, records, governance materials and supporting evidence needed for review or response.
02
Assess the gaps
We review the available materials against the relevant expectations, helping the firm understand gaps, weaknesses, inconsistencies and practical areas for improvement.
03
Track remediation through to closure
We help turn findings into clear actions, owners, timelines and evidence so remediation can be monitored, completed and documented.
COMMON TRIGGERS
When firms typically need readiness or remediation support
Firms usually seek this support when scrutiny is expected, information requests need coordination, or previous findings need to be addressed in a structured and evidenced way.
- The firm is preparing for a regulatory examination or supervisory enquiry
- Investor or board due diligence is expected
- Information requests need coordination and review
- Policies, records or governance materials need organising before scrutiny
- A review has identified gaps, weaknesses or inconsistencies
- Previous findings need remediation and tracking
- Senior management needs clearer visibility of issues and actions
- The firm wants to evidence progress, ownership and closure
Preparing for scrutiny or managing remediation actions?
Tell us what scrutiny you are preparing for, what findings need to be addressed or what evidence needs organising. We will help you identify practical next steps and support a structured response.