Practice

Financial Services Regulatory Consulting

When the regulatory landscape changes or you're facing a regulatory obstacle, the first step is to understand the compliance and legal implications for your business. 

Representative experience

Advising on regulatory authorization and variation of permission.

Advising on regulatory change program implementation.

Designing and delivering all aspects of remediation programs, including policies and procedures and providing oversight.

Preparing for and implementing SMCR, including application and interview support for senior managers.

Assisting with large-scale due diligence, investigation, and reviews for all types of transactional activity.

Supporting and advising in respect of compliance and conduct risk reviews in preparation for regulatory visits and information requests.

Designing and delivering training and coaching programs, including online modules.

Working with firms in preparation for and during Section 166 Skilled Person’s Reviews.

Helping firms with complaint handling reviews, resourcing, and root cause analysis.

Designing and implementing a complaint management framework.

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