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Regulatory Consulting

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The ever-changing nature of financial regulation has become one of today's most complex business challenges. Working with expert advisers is the key to staying ahead in a competitive world.

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.

On 7 April 2020 the FCA published its Business Plan 2020/21. The annual Business Plan gives details of the key priorities and the planned specific activities for the next year. The key priorities and planned activities are set out under five overall priorities, six cross-cutting priorities and the four sector-specific areas the FCA will aim to focus on. The Business plan continues to focus on the key themes we have come to expect, including; EU Withdrawal, Innovation and Technology, Operational Resilience, Financial Crime and Culture in Financial Services. Whilst the FCA's policy research in to climate change has also been brought more in to focus. The Business Plan also covers the FCA's evolving response to the Coronavirus (COVID-19) and the impact this will have on planned activity.

FCA Business Plan and Priorities

The publication of the Financial Conduct Authority's (FCA) Business Plan for 2020/21 comes as the UK copes with the global pandemic of COVID-19 and at a time when it was expecting to be well progressed with plans to withdraw from the EU.

Find out more about the FCA Business Plan including the key priorities over the next 1-3 years.

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Listen to our webinar, where we explored the latest Business Plan, what it sets out for the Financial Services sector, and what it means for different types of regulated businesses.

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DWF Regulatory Consulting

DWF Regulatory Consulting

The Fifth Money Laundering Directive

The Fifth Money Laundering Directive

Our Expertise

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 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 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.

What makes us different?

We believe that regulation can be a differentiator, helping firms to innovate, stand out and create trust with their customers, rather than simply being a cost of doing business.

Our team combines business advisers with legal expertise, and we are experienced in working with financial regulators. The diversity of our team enables us to deliver bespoke commercial and compliant solutions to a range of regulatory issues. Our team is led by senior individuals who are regulatory experts with many years of industry and advisory experience including acting as 'Skilled Persons' leading FCA and firm instructed Section 166 reviews. We can truly operate as business advisors to help your firm not just survive but prosper. We are also a Member of the Association of Professional Compliance Consultants and won the 2019 Compliance Register Award for 'Best Law Firm – Regulatory Advice'.

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Find out more about our retained services
   
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DWF Regulatory Consulting - Consumer Lending
   
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DWF Regulatory Consulting - Due Diligence
   
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People

Key contact

Meet our team

Get in touch with a member of our team by completing the form.
+44(0)3333202220

+44(0)3333204440


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