Regulatory Due Diligence

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Regulatory Due Diligence

Health Check and Reviews

Independent high-level review of the overall effectiveness of a firm’s existing compliance arrangement, including reviewing policies, processes and practices against relevant regulatory requirements and obligations.


Internal investigations and strategising formal regulatory or law enforcement investigations.

Compliance Policies & Procedures

Gap analysis of policies, updating and developing new policies and procedures in a user-friendly, practical, and risk-focused manner.

Regulatory Inspection

Preparation for Pre-regulatory inspection, providing strategic advice during regulatory inspections and delivering a post-inspection remediation programme.

Coverholder/Managing General Agent (MGA) audits

We will work with you to design the scope of the audits, which will include:

  • Compliance with regulatory requirements;
  • Assurance that business is underwritten within the parameters of the Binding Authority.

Our services

Find out more about the compliance and regulatory services we offer.

Learn more about us

Everything is informed by our three core principles: commitment, collaboration and consultancy.

Contact us

Please call us + 44 (0)20 8249 2407 or drop us an email and we will respond to you as quickly as we can.