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Regulatory Consulting

Our financial service regulatory consulting service works hand-in-hand with our financial services team. Together they provide a range of services — from guiding you through regulatory application processes to delivering comprehensive regulatory compliance projects from initial advice to implementation. 

We build teams drawn from former regulators, senior compliance and risk professionals, and experienced project managers to work with you at each stage of a project's life cycle. 

We address complex challenges for a range of clients from banks, building societies, wealth managers, insurers, and payment service providers to high-growth start-ups active in those areas.

Read more about Financial Services Regulatory Consulting here.

Practices

Representative experience

Advising on regulatory authorisation and variation of permission

Advising on regulatory change programme implementation, remediation programme design and implementation

Preparation, application and interview support for Approved Persons

Assistance with large-scale due diligence for transactions

Supporting on independent legal, compliance and conduct risk reviews and on preparation for regulatory visits and information requests

Supporting on Section 166 Skilled Person’s Reports

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