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COMPLIANCE
MONITORING

Stay Ahead of Regulatory Risks

Ongoing partnerships with our clients are where we provide our most valuable support at Adempi London UK

Navigating FCA regulations isn’t just a matter of ticking boxes. It requires active oversight, up-to-date documentation, and a clear view of your compliance risks. At Adempi, we support firms in building and maintaining effective Compliance Monitoring Programmes that reflect real business risk—and deliver real value.

Our tailored compliance monitoring services to FCA-regulated venture capital and investment firms ensure your Compliance Monitoring Programme (CMP) reflects the scale, nature and complexity of your business. Whether you’re building a new programme, enhancing an existing one, or embedding regular checks, we’re here to help.

COMPLIANCE MONITORING THAT WORKS

Adempi undertake one-off projects for clients who need expertise at a particular point in time

WHY IT
MATTERS

All FCA-authorised firms must maintain an effective CMP. But many firms fall into common traps:

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  • Documentation that’s outdated or not reflective of the business

  • Programmes misaligned with risk profiles

  • Monitoring that lacks insight and only serves as a formality

  • Struggling to keep up with regulatory updates​

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We help you move from reactive to proactive compliance.

Our Compliance Monitoring Support Includes:

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  • Bespoke CMP Design - Tailored to your permissions, business activities, and risk appetite

  • Routine Monitoring - Periodic testing and reporting to provide assurance

  • Remediation Tracking - Helping you act on findings and mitigate risks

  • Regulatory Horizon Scanning - Keeping your programme aligned to evolving requirements

  • Governance Reporting - Meaningful MI and summaries for boards and committees

What You Can Expect:​

  • Confidence that your CMP aligns with FCA expectations and is scaled to your business

  • A pragmatic, proportionate approach rooted in real industry experience

  • A programme that genuinely helps identify and manage regulatory risk

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Book a Call with the Adempi Team 

Take control of your compliance monitoring today. Book a call with our team to discuss how we can help you build a programme that stands up to scrutiny, supports business growth, and meets FCA expectations.

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FAQS

What does a good compliance monitoring programme include?

A well-structured CMP should be risk-based, aligned to your permissions and business activities, and include clear testing schedules, remediation tracking, and governance reporting.

How often should compliance monitoring activities take place?

This depends on your firm’s size and risk profile, but most FCA-regulated firms conduct quarterly or biannual testing cycles as a minimum.

How to improve an existing compliance monitoring programme

Start with a gap analysis—review your current plan against your regulatory permissions, business risks, and the FCA’s expectations. Then update your schedule, testing methods and reporting accordingly.

What are the FCA requirements for compliance monitoring

The FCA requires firms to establish, maintain and carry out a compliance monitoring programme that’s appropriate to their nature, scale and complexity—this includes regular testing, oversight and evidence of follow-up.

Best practice for compliance monitoring reports to senior management

Reports should highlight key risks identified, summarise completed and upcoming reviews, and flag any overdue remedial actions. They should be concise, insightful, and tailored to your governance structure.

How often should Compliance Monitoring Programme be reviewed? 

​At least annually, or following any material change to your business or the regulatory landscape.

Can Adempi help us build a CMP from scratch? 

​Yes. We work with new firms and established firms alike to build fully bespoke programmes.

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