Health Check and Reviews
Independent high-level review of the overall effectiveness of a firms existing compliance arrangement, including reviewing policies, processes and practices against relevant regulatory requirements and obligations.
This will be increasingly important with the proposed regulatory change around Individual Accountability and Conduct.
Internal investigations and strategizing 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.
Preparation for Pre-regulatory inspection, providing strategic advice during regulatory inspections and delivering a post-inspection remediation programme.