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Asset managers are facing increasing regulatory scrutiny, with rapidly evolving requirements coming from both the FCA and European regulators. This requires firms to regularly review and adapt their operating model, systems and processes, while balancing their commercial objectives and the needs of their clients.

Asset managers are facing increasing regulatory scrutiny, with evolving requirements coming from both the FCA and EU regulators. Our horizon scanning and collaborative approach helps asset managers evaluate the potential impact of change on their operations, effectively adapt and leverage the opportunities it presents.

The FCA is increasingly focussed on asset managers’ culture and business models. A key part of satisfying these requirements is developing and maintaining an operating model that drives the desired behaviours and complies with the letter and spirit of the regulations. Being able to evidence that culture translates into positive customer outcomes and delivers value for money is also an essential part of meeting regulatory requirements. Our pragmatic, evidence-based culture review highlights clear examples of cultural indicators that are positively or negatively aligned to the regulator’s expectations and enables cultural change.

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We provide long-term, holistic risk and compliance solutions that fix your past, strengthen your present and protect the future of your business:

Discover how we helped an Asset Management firm conduct a detailed compliance review and produce a remediation action plan within tight timescales.

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