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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.

Financial crime and the cost to your business

As anyone who works in or is connected with the financial industry knows, banks and other financial organisations expend significant time, resource and money in combating financial crime. It is an area that institutions take extremely seriously. Increasing investments are being made, both in people and in advanced technology to screen, flag and act upon suspicious activity. The cost of fighting financial crime continues to rise.

 

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Regulatory Consulting

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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Regulatory Consulting - Consumer Lending
   
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Regulatory Consulting - Due Diligence
   

Understanding the market

Latest Insights

Small panel research and data
Insights

Brexit latest

The UK and EU have agreed a deal on an initial framework for future financial services co-operation – but meaningful agreements on regulatory equivalence are still not on the horizon and the recent announcement does not yet provide anything concrete for market participants.
 
Small panel legislation
Insights

Financial Crime and Fraud

This newsletter summarises the latest regulatory developments across Europe and the Middle East in response to financial crime and fraud. This edition focuses on the UK, Germany, Poland, the UAE and Saudi Arabia and is relevant to individuals working in financial services in any of these jurisdictions. 
 
Small panel developments explained
Insights

Appeals against Prohibition Notices

An Employment Tribunal has been deemed correct by the Appellate Court to have refused applications to stay two prohibition notices that were issued under s.22 Health and Safety at Work Etc Act 1974 on the basis that there was not a real risk of substantial prejudice. 
 
Small panel research and data
Insights

The Brexit trade deal

Following the Free Trade Agreement between the UK and EU, many remain unclear what it means to them. We look at the implications for firms involved in the provision of Financial Services and Insurance. 
 

People

Key contact

Meet our team

Get in touch with a member of our team by completing the form.
T +44(0)3333202220
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+44(0)3333204440

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