Our Expertise
REGULATORY SUPPORT
Our regulatory support is available on short notice and on an ongoing basis, including:
Specialist Training: Competence and capability are at the very heart of FCA expectation from regulated firms. We can keep your people well trained and market aware on an ad hoc or regular basis.
Change Management: Regulations change, the expectation of regulators can evolve, and market sentiment will shift. We can help you skilfully implement necessary change in a way that supports your business.
Technical analysis and support: When you need extra support to fully understand new regulations or regulator expectations it is always helpful to work with advisory teams who know the market. We bring real world market experience.
REGULATORY RISK ASSESSMENT
Things don’t always go to plan. Regulation can take you by surprise, market sentiment can shift, and the regulator can arrive unannounced with serious consequences. If your business faces uncertainty, or the prospect of challenge, we can help you make that assessment — with realistic predictions and practical steps to avoid being challenged.
Understand the regulatory risks hidden in your business before they become a real issue. Our assessments can cover:
Risk assessment – audit and review: Regulated firms should be ready to challenge their own decision making at every level. A healthy compliance culture means regular, formal auditing and review of key decisions - often best validated by a trusted external party.
Quantification of risk – scale and impact: Where risks surface through internal or external review, the scale and impact need to be established quickly. Our highly trained people know how to get you that visibility fast.
Mitigation and closure: In many cases, unnecessary risk can be identified and resolved before more significant action is required - closing these off before they need regulator engagement.
FCA ENGAGEMENT AND INTERVENTION SUPPORT
It can be intimidating and critical to the future of your business to get your strategy with the regulator just right. It demands specialist advice, delivered at pace, with good outcomes in mind for everyone involved. We do not treat this as litigation or a rigid process. This is when your business needs to be fluid, responsive and open minded. Having the right experience in the room is critical to any remediation strategy. We offer:
An open and transparent engagement: Confidence matters when you are responding to regulatory challenge: not being intimidated but to think clearly. Our experience means we keep an open mind.
A diverse range of skills, in one place: Getting the right experience into the room quickly is one of the most important measures you can take.
Access to people, quickly
Whether one-off or at scale, we can meet demanding requests for information quickly - experience earned across clients, regulators, compliance and legal businesses.
SECTION 166 AND SKILLED PERSONS SUPPORT
This is a uniquely challenging environment for any FCA authorised firm. Clarity is one of our values and we will always bring this to the table in any such review, our support includes:
Your say in selecting the skilled person: Being involved in the selection is a chance to make a sensible assessment of who is right for your business. Our approach rests on technical excellence, understanding and respect.
Pace and timing: A skilled person review risks interrupting your ability to trade normally. You may prefer to involve us before the FCA makes the appointment, we will engage openly and quickly.
Unbiased technical excellence
We can also undertake these reviews on a shadow basis, where it may be sensible to communicate proactively with the FCA ahead of a full and formal review.