We provide a wide range of professional services in financial services on current and emerging issues.

These include (inter alia):

• Authorisation of applicant firms by the PRA, the FCA and other regulatory bodies, in the UK and overseas

• Variations of Permission, Change in Control and Passporting applications

• Corporate Governance advice, including board effectiveness and governance reviews,
  (often for regulatory reporting purposes)

• Assistance with strategic thinking, development, drafting and review of regulatory business plans,
   risk assessment documentation and strategy and other board related papers

• Support for Regulatory Risk Assessments, regulatory supervisory activity based upon proactive,
   reactive and thematic activity and Event Driven visits

• Remedial projects including formal and shadow Skilled Persons Activity

• Supporting and advising senior, executive and non-executive management, including preparation for
   SMF/SIF interviews, Approved Persons' and Board competency assessments and development

• Effectiveness Reviews including:

• Assessment of the Customer Journey, Conduct Risk, Risk & Compliance Functions
   and the application of the Three  Lines of Defence

• "Deep Dive" reviews to provide assurance to Boards, either in parallel with
   formal remediation work being undertaken or as a pre-emptive diagnostic tool

• Specialist input to Internal Audit reviews

• Operational and conduct risk strategy, risk assessment and risk frameworks

• AML/KYC, Anti-bribery & corruption and Fighting Financial Crime

• Assistance with the production of internal capital adequacy assessments models

• Review of Client Asset documentation