The financial services industry is highly regulated and businesses operating within this sector face a complex operating environment.
Our teams of experts provide practical and commercial solutions to firms, financial institutions and funds in the financial services sector with a range of advisory, support and compliance services. These include:
We have developed considerable experience in client asset assurance assignments and the review of client asset holding systems and controls. We can report on compliance with all aspects of the CASS rulebooks, some of which have undergone recent changes which may increase the compliance burden for some businesses.
We can assist businesses in the development of risk registers and other procedures to ensure best practice governance and compliance with the conduct of business rules.
We understand the pressures faced by compliance officers and have developed insight into how clients can most effectively communicate with the regulator should the need arise. We believe we offer a unique package of expertise across a number of regulated sectors.
We are committed to delivering a partner-led, high-quality, practical and cost-effective service that helps mitigate the pressures faced by businesses in this complex and highly regulated sector.