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Our complete Financial Services Regulatory solution
New business seeking to understand the regulatory landscape? Established business navigating regulatory change and oversight? Identified an actual or potential regulatory issue? Or just want some assurance that you're meeting your regulatory requirements? From the first step of getting to grips with the compliance, risk and legal implications to planning and implementing any operational changes, we're here to help you.
End to End Service
We offer interpretation, planning, and implementation as an end to end service. You receive an efficient and effective solution that achieves your business and regulatory objectives at a lower cost than specialized consulting groups. All delivered under one roof, by deeply experienced specialists.
When regulatory requirements drive changes to business operations, we integrate and leverage technology and data driven solutions where required. You benefit from a seamless process provided by one firm, lowering the risk of project slippage and giving time back to your key stakeholders.
Our Consulting Team
Specialist team of operational and regulatory consultants, with a broad range of backgrounds. Our people have worked for Regulators, large consultancies and a wide range of financial services institutions. We work with you to understand the operational, risk and compliance needs of your business. Our unique blend of experience then gives us the knowledge and insight to provide innovative and tailored solutions, with support from our market leading legal practice, where required.
We're here to help you:
Learn more about how we work with our clients by visiting our areas of focus, with supporting case studies.
Advised a leading automotive services client on a remediation programme relating to insurance renewals and provided strategic and operational support with delivery. Drafted Voluntary Requirements, assisted with population analysis and delivered fair outcomes aligned to regulatory requirements for all affected customers within the permitted timeframe.
Performed outcome testing on complaints received by a large payday lender in relation to unaffordable lending. Provided specialist case handling resource to support with high complaint volumes and mitigate the risk of regulatory requirements being breached.
Advised a Fintech offering checkout services for online retailers to on obtaining FCA permission to provide merchant acquiring services and supported the application process. Support included advice on regulatory requirements in relation to all aspects of payments activity, guidance on documents to be submitted to the FCA with the application for regulatory authorisation, provision of document templates and review and GAP analysis of drafted documentation.
Advised an international bank establishing a new digital retail bank in the UK. Supported throughout the authorisation process including product, policy and process design, advice on regulatory requirements, providing document templates for the PRA application and reviewing the end to end application package.
Undertook a compliance review for an international bank to determine whether it was meeting its requirements under PSD2. Activities included review of documented sales process, customer documentation and internal procedures, GAP analysis against regulatory requirements and production of a report highlighting compliance risks and suggesting potential enhancements to strengthen regulatory position.
Carried out a review of compliance uplift activity undertaken by an insurance broker, as part of wider due diligence relating to a potential purchase. Reviewed documentation evidencing implementation to provide assurance to the buyer that the uplift programme had been implemented as agreed. Scope included the Insurance Distribution Directive, identification and treatment of vulnerable customers and product governance.
Conducted a compliance review for an international bank to determine whether it was meeting its creditworthiness and affordability requirements. Activities included review of documented sales process, GAP analysis against regulatory requirements, and production of a report highlighting compliance risks and suggesting activities to help the client better understand/remedy identified risks.
