Our clients trust us to provide an exceptional level of regulatory advice. We work across a range of sectors where we have in-depth industry knowledge, including financial services, insurance, retail, transport, local government and energy.
In the financial services sector we work with Asset Managers, Banks, Brokers, Consumer Lenders, Fund Managers, Investment Managers, Payment Firms, Private Equity investors, Trustees, and Wealth Managers.
Our approach enables firms to manage the volatility, complexity, uncertainty and ambiguity resulting from evolving financial regulation; we help firms address these issues and anticipate the impacts of regulatory change on their business.
Regulatory Assurance - Including health checks, compliance monitoring, internal audit services and regulatory due diligence. We help businesses prepare for transactions and assess the potential risks.
Regulatory Change - Interpreting and implementing complex regulatory change programmes including the Senior Managers & Certification Regime (SM&CR).
Regulatory Conduct and Culture - Helping businesses to create the right culture, and ensure good outcomes for their customers, including Part IV Authorisations and advice on day-to-day conduct.
Regulatory Governance Effectiveness - We provide Board Effectiveness reviews, Governance reviews and can help you achieve the most effective target operating model for your organisation.
Regulatory Redress and Remediation - We have experience of running remediation programmes of varying size, scale and complexity, whether this is something firms are required by the FCA to perform, or whether firms decide to voluntarily undertake a past review exercise, to consider risk within the business, or to focus on specific themes within its client base. This includes areas such as Defined Benefit (DB) Pension Transfers.