For Financial Services Companies only
Regulation touches most areas within the Financial Services Industry. There are demands upon the firm itself, its senior management, its people - whether controlled functions or not. We can help you interpret and apply FSA regulations and keep you up to speed with developments. We specialise in the people aspects of regulation – T&C, TCF and APER
PROCESS & PROCEDURES
Designing processes and procedures is a specialist subject requiring skills to weave together different business requirements and produce a practical, pragmatic, cost effective and risk based solution that achieves compliance as a natural by product. Our team has dealt with regulation over many years and have experience of Investment, Sales, Mortgage, General Insurance and Administration.
REVIEWS & AUDITS
You may seek reassurance that the approach you have taken is appropriate or to see whether there are alternative ways to approach and manage risks within your business. We are able to undertake overall reviews or themed reviews for you. A themed review is where we will look at a specified part of your business operation.
DEVELOPMENT
We enjoy working with companies where part of our remit is to help develop people's understanding and ability to operate within a regulatory world. We delight in helping companies reach a position where their staff are better placed to look after the regulatory requirements by being able to identify and manage the risks that arise on an ongoing basis.