We provide an exceptional level of regulatory and compliance support to both retail and wholesale organisations across the financial services industry.
We have also undertaken extensive work for regulators in this sector, which has given us invaluable insight into their workings, perceptions and expectations.
Our work has included helping new and existing regulators develop strategy and operational processes, and supporting them in the implementation of their regime, including:
- Facilitating and consulting on the regulatory approach
- Drafting policy and strategy statements, and monitoring policy effectiveness
- Integration of multiple entities or responsibilities
- Advice on past experience and benchmarking
- On-going support and implementation of regulatory inspections and supervisory visits, as well as undertaking enforcement measures
- Reviewing the regulator's process for authorisations, as well as handling authorisation and registration requests
- Carrying out capital adequacy assessments, and training and competency assessments