Complementary Regulatory Compliance Services
The Risk and Regulatory Consulting team have extensive experience across a broad spectrum of Regulatory Compliance activities, including Prudential and Conduct-specific areas.
The Risk and Regulatory Consulting team have extensive experience across a broad spectrum of Regulatory Compliance activities, including Prudential and Conduct-specific areas. Complementary services offered by the team include the following:
- Exploratory and preparatory services in relation to authorisations for financial services providers, including branches and subsidiaries of European and third country institutions.
- Authorisation application support and assessment.
- Competent Authority/Regulatory Body interaction support.
- Advice and guidance on regulation, risk and compliance areas from experienced subject matter experts.
- Process review; challenge and assessment versus regulatory requirements and guidance.
- Enhancement of processes across key risk and compliance areas.
- Framework, policy and procedure development and review.
- Provision of managers and other resources to lead or support regulatory and compliance related projects, including remediation activities.
Quality Assurance Reviews
- Monitoring, assessment and challenge of regulatory, risk and compliance activities, reporting and regulatory submissions.
Regulatory Gap Analyses
- Assessment of practices, processes and documentation with regulations, including European Supervisory Authority guidelines and technical standards.
Regulatory Inspection Support
- Pre-inspection support including mock interviews and tailored training programmes.
- Onsite inspection project management support and advisory.
- Provision of experienced staff for short and long term secondments to risk and compliance functions.
Skilled Persons Reports
- Execution of skilled person reports as required by regulatory authorities in relation to risk diagnosis, prevention or remediation.
- Provision of comprehensive individual, team, function or firm-wide training across a broad spectrum of regulation and compliance areas including AML, Financial Crime, ICAAP & ILAAP, Consumer Protection, MIFID and Recovery & Resolution Planning.