DC-Services UK FCA Compliance

Evidence and Record Keeping Records

Under FCA SYS 3.2.20R, firms are required to maintain orderly records of their business and internal organisation. DC-SERVICES facilitates this by providing a definitive digital archive of asset records and risk intelligence that serves as a 'golden source' for our partners. Our documentation is designed to survive the lifecycle of the underlying asset, providing a historical narrative that is essential during regulatory enquiries or internal audits. By outsourcing the technical documentation aspect to a specialist, firms can ensure their record-keeping is robust, timestamped, and logically indexed.

• ›Written intake brief signed by the client
• ›Conflicts screen and independence check
• ›Defined deliverable list and retention envelope

Governance and Supervisory Oversight

Internal governance at DC-SERVICES is structured to mirror the SM&CR (Senior Managers and Certification Regime) spirit. We clearly define roles and responsibilities to ensure accountability at every stage of the documentation process. This internal rigour provides institutional clients with the confidence that our data outputs are subject to strict supervisory QA before delivery. We maintain a clear separation between our operational teams and our quality assurance department, ensuring that no document is issued without a cross-departmental verification of its factual accuracy and regulatory alignment.

• ›Source hashing at intake
• ›Role-based, time-bound access
• ›Two-stage review before release

Scope and Prohibited Activities

It is critical for our stakeholders to understand that DC-SERVICES is not an FCA-authorised firm, as we do not perform 'Regulated Activities' as defined in the FSMA (Regulated Activities) Order 2001. We do not provide financial advice, manage investments, or hold client money. Our role is strictly limited to the provision of information, documentation, and intelligence. By maintaining this clear boundary, we avoid conflicts of interest and ensure our position as an objective record-keeper is never compromised by the incentive structures common in brokerage or asset management.

Strategic Compliance Outcomes

The ultimate goal of our FCA-aligned framework is to provide clients with a defensive perimeter of high-quality documentation. During a thematic review or a direct inquiry from the regulator, having structured, professional records from DC-SERVICES can significantly reduce response times and demonstration costs. We provide the 'Clarity Check' required to verify that your digital-asset exposure is documented to a standard that meets the scrutiny of the UK's financial watchdog, ensuring that your firm's compliance posture remains proactive rather than reactive.