Regulatory Change & Compliance
We can help you navigate regulatory complexity and change effectively and at a pace which suits your needs. We have extensive experience in creating fit-for-purpose business compliance programmes and implementing solutions to monitor, manage, measure and reduce compliance risks, in line with your business model and risk appetite.
Our expertise ensures our clients have efficient and compliant operations which demonstrate compliance with regulation, and offer a cost-effective solution to ensure that commercial decisions take a risk-based approach, aligned to local and international legislative and regulatory requirements.
With options for an ad hoc or ongoing retainer service, our intelligent, focused components can be selected and combined to form a tailor-made or complete regulatory and compliance framework, including:
- Board effectiveness & corporate governance reviews
- File/client reviews, covering specific client files or relationships, or the business model and infrastructure
- Compliance framework assessment
- Conduct risk framework
- Non-Executive Director support and assistance
- Independent compliance monitoring programmes
- Business risk assessment
- Licence applications
- Regulatory & compliance advisory services
We are well versed in assisting businesses engage with regulatory bodies to reach practical and pragmatic solutions, and have worked with several financial service providers to perform remediation projects, and help to design governance risk frameworks.