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Financial services

Unlike Jodie Picoult novels or Jamie’s recipes, financial regulation isn’t quick or easy to read. To take one example, there are 1.6 million pages of text just for MIFID II regulation and guidance. And that’s just one regulation among hundreds that will affect financial services businesses on a daily basis. And whilst length is one thing, the speed at which regulatory change happens makes complying with the whole thing a dizzying experience.

 

That’s where we come in.

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1.  Educate with our library of off-the-shelf and bespoke training materials

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Designed for in-house counsel, compliance officers and c-suite executives who are short on time and need to rapidly get to grips with a subject. 

 

Our materials have been created by expert lawyers and have been used across a wide range of companies in the financial services sector. We are confident in our ability to transform dry, complex materials into clearly relatable content that you and your colleagues will remember.

 

2. Strategy

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Whether you’re thinking about establishing a new regulated financial services business, or you are well established but want to make some changes, we’re on hand as an extension of your leadership or compliance team.

 

We can help you think about your overall governance arrangements, the launch of new products or changes to existing products. We can conduct risk assessments and help you create strategies to prevent or mitigate identified risks.

 

As your business and the regulations evolve, you’ll need a strategy to keep ahead of the changes. We see our involvement with you as a long term relationship and will remain by your side (as long as you want us to) to ensure you’re heading in the right direction.

 
 

3. Design

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We help firms design products that meet the relevant regulatory requirements. We help firms design and build back-office solutions that work across all regulatory requirements, not just to satisfy a single regulation. We help firms design and implement governance arrangements that are proportionate to the nature, scale and complexity of their organisation.

 

Our team of lawyers also boasts experience of acting as directors and compliance officers at regulated firms and can help you think about all of this in the context of the overall culture of your organisation so that you’re also complying with the FCA’s thematic work in that area.

4. Implement

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Once you have designed your product, governance solution, or new business strategy, you need to implement it.  Where most firms stop at providing you with advice or guidance we go further. We help you every step of the way and can even take full control of the implementation process so that you can get on with doing what you do best.

 

Once your project has launched we can continue to act as your outsourced compliance function or as ongoing support for your existing compliance team.  Working on a retained basis we can design a package that’s right for your business, whatever your budget.