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. Complementary services offered by the team include the following:

Authorisations

• Exploratory and preparatory servicesin 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.

On-Call Advisory

•  Advice and guidance on regulation, risk and compliance areas from experienced subject matter experts.

Process Improvements

• 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.

Project Management

• 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.

Secondments

• 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.

Training Activities

• 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.