Regulatory review services

We believe that knowledge is power and our review services are available to help you look at your business from a number of regulatory angles and perspectives. We can provide an holistic overview of the health and embeddedness of compliance within the businesses to give you comfort about overall levels of compliance, or we can undertake targeted or Deep-dive exercises, bespoke to your needs, to enable you to ascertain specific insight or address a specific regulatory concern.  This will enable you to meet your FCA or PRA requirements in respect of compliance monitoring and also to understands the robustness of the regulatory systems and controls within the business. 

Holistic services that we can provide include:
  • Health Check  / SYSC Reviews
  • Compliance monitoring reviews
  • Governance reviews
  • Conduct Risk Framework review
  • MiFID II preparedness
Focused review that we can undertake include:
  • Best Execution reviews
  • Recovery & Resolution Planning
  • Review of outsourcing arrangements
  • Preparation in advance of regulatory visits
  • Documentation reviews
  • TCF reviews