Compliance

​We offer a full range of Compliance services including examples such as:

• Applications for regulatory Authorisations or Variation of Permissions.

• Regulatory change assessment, project management, preparation, readiness, training, delivery and embedding (for example: Consumer Duty).

• Product Oversight and Governance

• Fair Value Assessments.

• Capability reviews

• Preparation for Regulatory Interviews

• S.166 remediation and assurance

• Development, review and build of Compliance frameworks and operating models

• AR/ Outsourcing oversight and control

• Annual Planning activity (e.g. Compliance Monitoring, internal reporting, regulatory reporting, horizon scanning)

• Complaints Management, remediation and root cause analysis

• Financial Promotions,

• SM&CR frameworks, advice, training and practical application,

• Governance,

• Policy and procedure review,

• Target Operating Model review and resourcing.