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Wealth Management & Private Banking

Wealth Management & Private Banking

We have been working with the Wealth Management and Private Banking sector for over 15 years and our culture and conduct risk experience is proven to assist firms meet regulatory expectations in core areas of FCA focus such as Governance & Controls, Client Proposition, Advice Suitability with the aim of delivering appropriate customer outcomes.

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Retail Banking & Building Societies

Retail Banking & Building Societies

The majority of our clients in this sector rely on our deep remediation expertise and focus on culture & conduct risk to help them address issues with past business as well as meet present and prepare for future regulatory obligations. Our value-driven approach aims to deliver an enduring return on investment that supports and maintains long-term business sustainability.

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Distribution Firms

Distribution Firms

With advice and distribution at the heart of the consumer protection agenda, we provide a range of solutions to firms across the breadth of this sector, from intermediaries through to platforms, to product providers. With the FCA focused on culture and consumer engagement, our clients benefit from our deep understanding of the challenges they face, combined with a real-world commercial approach that aims to deliver an enduring return on investment in the form of better outcomes for both the individual customer and the business.

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Asset Management

Asset Management

With the sector subject to much regulatory change, our expertise lies in assisting our clients understand and interpret the requirements and expectations from both local regulators and the ever-increasing European regulation. We make sure our clients' operating models, culture and objectives are not only right for an industry leading and profitable business, but are focused on meeting the needs and objectives of their clients

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Consumer Credit

Consumer Credit

We understand that meeting regulatory expectations can place immense pressure on the operational resource of Consumer Credit firms. For the Consumer Credit sector, our expertise lies in assisting firms to efficiently adjust to regulatory pressure. Our focus is on promoting enduring and sustainable business models that support positive outcomes that are beneficial to both you and your customers.

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Small Intermediaries

Small Intermediaries

Although small financial advisory firms do not come under as much regulatory scrutiny as their larger counterparts, adhering to regulation remains an obligation. Firms in this sector are challenged with balancing the ever-evolving demands of regulation with servicing clients, running a business and acquiring new clients.

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General Insurance Providers

General Insurance Providers

The FCA is now aggressively pursuing its competition agenda within this sector, with a clear focus on ensuring firms are delivering value in the products they design and distribute. Our specialism in this sector lies in reviewing business models and structures to ensure that fair customer outcomes are delivered and that commercial realities sit comfortably alongside a customer-centric culture.

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Life Insurers & Pension Providers

Life Insurers & Pension Providers

Unprecedented regulatory and legislative change in this sector has resulted in firms re-evaluating their business models. The FCA’s ongoing focus for the future is on how firms approach this complex change agenda and how the firm’s culture influences and drives its response. With our specialism lying in effective management of culture and conduct risk, we are perfectly placed to provide solutions that are holistic and manage the root causes of risk.

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