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Strengthen your present

  • Vulnerable Customers Strategy (Gap Analysis)
  • 3LOD Control Framework Design and Reviews
  • Compliance Monitoring/Assurance – Programme Design and Reviews
  • Compliance Policies, Processes and Procedures
  • Compliance Reporting and Reviews
  • Corporate Governance Benchmarking and Best Practices
  • Product Governance Reviews – Process and Design
  • Regulatory Health Checks/Areas of Priority for CRO/CF10
  • Regulatory Reporting
  • Risk Reporting and Monitoring – How to Build MI
  • SYSC and Controls Assessments (Gap Analysis)
  • Target Operating Model Design for Risk/Compliance Functions
  • Market Abuse Controls
  • 3rd Party Risk Management / Outsourcing Risk Management
  • Client Money/Client Assets
  • Complaint Root Cause Analysis
  • Interim Regulatory Resourcing Support (secondments)
  • New Business Checking
  • Product Suitability Reviews
  • Retained Service – General Advice and Support (phone or face-to-face)
  • Skills Assessment of Compliance Departments
  • Technical Advice on FCA Rules/Guidance – Impact Analysis
  • Transaction Reporting – Regular Reviews/Audits & One-off Audits
  • APER Training Session for Board / 1×1 Directors (SIFs)
  • Board Education on FCA and APER Regime
  • Executive Coaching to CCOs
  • T&C Programmes for Compliance Departments
  • Training and Competence Scheme and Outcome Reviews
  • Review of Effectiveness of Firm’s 1LoD QA Activity
  • Financial Resources

Protect your future

  • Culture MI Assessment – Building the Suite of MI Needed for Boards
  • Conduct Risk framework (Gap Analysis and Design & Build)
  • Digital Conduct Risk Frameworks
  • Governance Framework Design
  • SMR and SIMR Regime
  • Audio Monitoring
  • Automating Compliance Checking
  • Co-sourced Compliance Monitoring Programmes
  • Leading Compliance Change Programmes for CRO/CF10
  • MIFiD II
  • Robo-Advice Controls Design

How can we help you?

Speak to our expert team for specialist assistance on the regulatory, compliance or risk problem you are facing.

Latest Insights

This Week in Regulation

This week we focus on the news of a UK investment firm entering administration and the FCA securing eight confiscation orders against individuals convicted of unauthorised activity.

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Find out more about our unique RegTech solution at recordsure.com