Tall Buildings

REGULATORY OPERATIONS

HOW WE DO IT

Managing and implementing regulatory change for financial institutions is one our core offerings as a Management Consultancy that specialises in regulatory risk.

Transitioning regulatory change into ‘business as usual’ activities can be complex and exposes firms to significant financial, reputational, operational and regulatory risks if not done correctly.

We leverage our extensive experience in managing the end-to-end lifecycle of regulatory change, helping our clients to implement practical strategies and operating models - to successfully implement regulatory change and ensure compliance with, for example, EMIR, ASIC, MiFID II/MiFIR, AIFMD, SFTR, IBOR Transition, CSDR and Dodd-Frank, which includes:

Helping our clients manage regulatory change from initial impact assessments and gap analysis through to implementation, governance and oversight

Performing regulatory health checks, peer and industry benchmarking to help our clients achieve industry best practice

Reviewing business processes and controls to help our clients to design and implement highly effective regulatory target operating models

Providing independent testing of accuracy and completeness of our clients’ regulatory trade and transaction reporting, assisting with remediation and back-reporting

Ensuring our clients have effective regulatory and operational risk and control frameworks in place to provide assurance of regulatory compliance

​Utilising industry standard programme and project management methodologies, proprietary ‘change accelerators’ and industry experts to deliver effective change

Our consultants are all industry practitioners, not ‘career consultants’, with deep subject matter expertise developed through ‘front-line’ experience, allowing us to offer a no-nonsense, balanced and commercially appealing advisory and consulting service to our clients.