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Governance Connect is a boutique Governance and Due Diligence consulting service offering advice for asset managers in terms of complying with the FCA’s principled based approach to regulation. 


Regulation has changed over the years to now include Behavioural Finance, Environmental, Social and Governance (ESG) and Value for Money.  Regulation will always include “following the rules”, but more importantly the FCA’s approach includes “principle” based regulation and a clear focus on Outcomes and Investor Protection.  Protection for customers, markets and the firm itself.  Hence regulation can now include protecting and enhancing the company and the brand through a strong awareness of governance (SYSC 2 & 7). 


A governance framework enhances a business and can clearly separate a company from the competition.  Clients and the FCA are very keen to hear about those firms who have a great governance culture and can prove that the clients are at the heart of its business. 


As Martin Wheatly, former CEO of the FCA, said”…..the regulator has a clear statutory objective to make markets work well for firms and consumers and hence more interest in achieving good customer outcomes.”  This has been picked up by the present (23rd April 2019) CEO, Andrew Bailey, in his speech on the Future of Regulation. 


If a firm gets a reputation for “good customer outcomes” then it can keep on increasing revenue and keep products sold.​

The Aim Of Governance Connect

is to help wealth and asset management businesses continue to offer compliant products and financial services that can prove “good customer outcomes”.  The approach is through an enhanced due diligence review and a report with findings and recommendations.  Governance Connect is also able to work through any recommendations made to the client.



The main objective for Governance Connect is to give clients the satisfaction that they have been through a Governance review of their product, investment management and operations by an independent party.

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