Share

Our technical expertise and proactive approach help you identify, manage and control regulatory risks, providing long-term regulatory assurance.

In an ever-changing regulatory environment and in light of the move towards personal accountability for those holding Significant Influence Functions (SIFs), you need to ensure you comply with current regulation and are prepared for the future.

Our clients use us for regulatory assurance because:

  • Of our proactive approach
  • We are aligned to risk appetite
  • We are proportionate to current business activity and future strategic objectives.

How can we help?

We support the development of effective internal standards and controls by delivering a range of services to our clients that are focused on assessing the effectiveness and efficiency of their conduct risk frameworks.

Where gaps are identified we provide practical advice and guidance on how to address the issues found, with the ultimate aim of assuring the business is operating in-line with regulatory expectations and industry best practice.

We adopt a risk-based approach to delivering fair outcomes for your customers.

We have the skills and technical expertise to assess whether you have effective controls and risk management frameworks, including identification and control arrangements to pre-empt, identify and mitigate risks in your business models including outsourcing arrangements.

Our suite of regulatory assurance solutions includes:

–       Vulnerable Customers Strategy (Gap Analysis)
–       3LOD control framework design and reviews
–       Compliance policies, processes and procedures
–       Product governance reviews – process and design
–       Regulatory health checks / areas of priority for a CRO/CF10
–       3rd party risk management / Outsourcing risk management
–       Client Money/Client Assets

We pride ourselves on finding solutions to compliance, risk and regulatory issues. If you can’t find the service you are looking for, simply speak to one of our experts.

Why partner with TCC?

  • Specialist – we are a subject matter specialist in controls and risk management frameworks, specialising in systems and controls to monitor and deliver suitable advice to retail customers.
  • Expertise – we develop and improve controls across the entire conduct landscape, covering a multitude of sectors, customer types and markets new to regulation.
  • Experience – our team of experienced regulatory specialists and ex-regulators know the rules and have experience of implementing them across firms of varying scale and complexity.
  • Assurance – focus on running your business safe in the knowledge that you are achieving the desired outcomes for both your customers and other significant stakeholders.

Partner with conduct risk experts for a proportionate, forward-looking approach.

Speak with our Advisory Team for a more detailed discussion about any of our regulatory assurance solutions.  

Latest Insights

This week in regulation

The FCA consults on industry codes of conduct, a market study into wholesale insurance brokers is launched and we summarise a speech on Robo Advice!

Subscribe

The latest insights and regulatory analysis straight into your inbox

Find out more

How can we help?

Speak to a culture and conduct risk expert today

Contact us

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