We may be relatively small – but we can deliver huge projects. Our size means we can be flexible and also retain the personal service our clients appreciate. At the moment, we are the only independent consultancy working on the wide-reaching international HSBC monitorship programme.

We have the project management skills you would expect from larger consulting firms, but we bring a deeper technical understanding of regulation. And we like to think we’re friendlier.

We are on the FCA’s skilled person panel for S166 reviews, but have found that clients have come back to us in cheerier times on the basis of the work we have done.

Our work is often focussed on particular FCA themes – for example CASS and Suitability. Many clients come to us for help with prevention of financial crime. We do broader regulatory reviews and health checks. And we work with firms whose circumstances are in a state of flux, for example because of an acquisition, regulatory change – such as in consumer credit – or changes to proposition. We keep pace with innovation too and are advising clients on the practical a regulatory challenges of launching simplified advice solutions – so-called robo-advice.

We’re happy to carry out formal due diligence – from a regulatory perspective – on potential acquisition targets too.

What we’re up to at the moment:

  • CASS reviews are never out of fashion: we’ve been running a couple of them with a bank and a wealth manager, and have more lined up
  • Neither is suitability: we’re simplifying the client take-on process for a private bank and re-writing their internal suitable advice guidance manual following the launch of a new proposition. And, at another wealth manager, we’re engaged to review financial planning advice before the recommendations go out to the client
  • Elsewhere we’re working with a foreign bank to help them get an incoming EEA branch up and running in London; and supporting firm’s preparations for the Senior Manager’s regime
  • Carrying out a transaction reporting health check; and we’ve been running MiFID 2 workshops for several clients
  • Having helped a number of firms towards consumer credit authorisation, we’re making sure they can now meet the FCA’s requirements on an ongoing basis; and for another private bank we’re preparing a gap analysis before writing them a CONC- specific suitable advice guide


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