We have a strong reputation in assisting clients with identifying and reviewing regulatory risks across regulated firms. Based on our deep knowledge and understanding of industry good practice and regulatory expectations, we have a detailed regulatory due diligence process that takes a comprehensive but commercial approach to identify regulatory business risks.
Successfully identifying risks can involve a significant volume of documents, on-site visits to your offices and close liaison with business teams by our regulatory consultants.
Amongst other areas, as part of our regulatory due diligence process, our team can provide deal support in terms of:
- Pre-transaction due diligence (either purchase or sale side)
- Back book sampling
- Reviews of sales and advice outputs
- Onboarding and Financial Crime controls
We will produce our findings in a format agreed with you, whether it's a dashboard, a go/no-go view of a detailed report. In our feedback, we will set out recommended control improvements and an analysis of the residual regulatory risks along with providing an agreed rating scale of our findings.
We will work with you to assess each risk in line with your internal risk framework and risk appetite, before suggesting and if desired, helping to implement mitigating systems and controls to reduce risk exposure. We can provide as much or as little support as you require and our team is able to support projects of all sizes, both in the UK and Globally.
