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Graduate, a man and woman in conversation
Graduate, a man and woman in conversation

Regulatory strategy and implementation

Helping clients effectively navigate and manage their regulatory relationships.

The regulatory environment continues to evolve and pose challenges. Responding appropriately to adverse findings or communications is key, and can help to maintain a productive and effective regulatory relationship – one that works for both you and the regulator.

Looking ahead, firms that take a strategic approach to managing their regulatory relationships will retain a strategic advantage. With regulatory pressures on firms likely to remain, anticipating and responding to areas of regulatory concern has never been more important.

We have a unique outlook as former regulators and industry leaders with extensive experience of managing high profile regulatory relationships. We are true specialists who bring deep expertise and diverse experience. Our solutions are innovative, practical, and sustainable – helping our clients be resilient today and ready tomorrow.

How we can help

Regulatory Relationship Management

We support boards and executive management as a strategic adviser, on a regular or ad-hoc basis. Support may include:

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  • Designing an effective regulatory engagement strategy
  • Responding to adverse regulatory findings or communications (e.g. letters, meetings, reporting)
  • Advice on approach, content, and messaging ahead of regulatory meetings – we speak the regulator’s language
  • Advice on regulatory priorities and benchmarking based on peer firm interactions
  • Designing or enhancing regulatory relationship management systems and controls
  • Advice on your regulatory affairs function and the interplays with risk, compliance, front office, Board etc.
 

Senior Management Regulatory Support

We also provide senior management support which may include:

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  • Preparation for regulatory interviews, including SMCR approvals, supervisory touch points and pre-investigation meetings
  • Ad hoc 1-2-1 advisory support to key decision makers and SMFs to support them with understanding and discharging duties and responsibilities
  • Undertaking senior anger benchmark reviews, including assessments of senior managers’ understanding of their individual and collective responsibilities, identifying areas of good practice and enhancements regarding how day-to-day responsibilities are executed
  • Reviewing action plans for remediation programmes – at inception and throughout program to verify effective execution strategy and sustainability – Implementation support on regulatory remediation exercises – ensuring you deliver what the regulator expects to see
 
  • Designing an effective regulatory engagement strategy
  • Responding to adverse regulatory findings or communications (e.g. letters, meetings, reporting)
  • Advice on approach, content, and messaging ahead of regulatory meetings – we speak the regulator’s language
  • Advice on regulatory priorities and benchmarking based on peer firm interactions
  • Designing or enhancing regulatory relationship management systems and controls
  • Advice on your regulatory affairs function and the interplays with risk, compliance, front office, Board etc.
 
  • Preparation for regulatory interviews, including SMCR approvals, supervisory touch points and pre-investigation meetings
  • Ad hoc 1-2-1 advisory support to key decision makers and SMFs to support them with understanding and discharging duties and responsibilities
  • Undertaking senior anger benchmark reviews, including assessments of senior managers’ understanding of their individual and collective responsibilities, identifying areas of good practice and enhancements regarding how day-to-day responsibilities are executed
  • Reviewing action plans for remediation programmes – at inception and throughout program to verify effective execution strategy and sustainability – Implementation support on regulatory remediation exercises – ensuring you deliver what the regulator expects to see
 

How we've helped our clients

UK Retail Bank

UK Retail Bank

We advised our client with their response to an adverse FCA thematic review, preparing senior management ahead of regulatory meetings, reviewing draft responses and advising on the nature and scope of proposed remediation plans.
International E-Money Firm

International E-Money Firm

We supported our client with the design of a KYC remediation exercise, advised on associated customer treatment considerations and helped to draft regular regulatory updates.
EU Fintech Unicorn

EU Fintech Unicorn

We provided our client – a fast growing firm – with strategic advice in respect of its regulatory interactions and priorities, through which the firm was able to improve regulatory relationships, with senior management meeting their regulatory obligations.

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