ADVISORY SERVICES
Focused regulatory consulting for financial firms—from targeted reviews to hands-on implementation. Each engagement is scoped around your permissions, products, customers and operating model.
Translate the FCA's Consumer Duty into practical governance and evidence.
Outcome monitoring, customer journey reviews, board reporting, fair-treatment controls and testing plans.
A gap and outcomes assessment, prioritised implementation roadmap, monitoring framework and evidence pack.
Typically 4–10 weeks; scope-dependent.
Demonstrate that products and services deliver fair value across their target markets.
Assessment methodology, cost and benefit analysis, distribution review, cohort analysis and governance design.
Fair-value assessment, assumptions log, committee-ready findings and remediation actions.
Typically 3–6 weeks per product set.
Build proportionate controls around the obligations relevant to your investment business.
Conduct obligations under MiFID II / MiFIR and WpHG, product governance, suitability, best execution, reporting considerations and control mapping.
Applicability analysis, control matrix, policy updates and implementation priorities.
Typically 4–12 weeks; permissions and operating model dependent.
Understand where current practice, documentation and evidence diverge from expectations.
Focused document review, stakeholder interviews, obligation mapping and risk-ranked findings.
Gap report, evidence register, accountable owners and sequenced remediation plan.
Typically 2–5 weeks.
Create a compliance framework that is clear, owned and proportionate to the firm.
Governance, responsibilities, policies, monitoring plans, escalation routes and management information.
Framework blueprint, governance calendar, core policy suite and implementation plan.
Typically 4–10 weeks.
Test whether controls operate as intended and surface issues early.
Risk-based monitoring, thematic reviews, sample testing, control walkthroughs and root-cause analysis.
Findings report, control observations, evidence trail and practical actions.
Typically 2–8 weeks per review.
Prepare for regulatory engagement with a coherent, evidence-led operating model.
FCA or BaFin application support, readiness reviews, business-plan input and cross-border issue spotting.
Readiness assessment, application workplan, evidence checklist and regulator-question preparation.
Milestones vary by regulator and application; no approval is guaranteed.
Establish sensible foundations before products, customers and obligations scale.
Regulatory perimeter, permissions considerations, initial governance, policies and control ownership.
Foundational compliance roadmap, responsibilities, core documentation and launch-readiness actions.
Typically 3–8 weeks.
Adopt AI-assisted compliance carefully, with risk ownership and human judgement intact.
EU AI Act readiness, use-case inventory, risk triage, governance, controls and monitoring design.
AI use-case register, readiness observations, governance recommendations and human-oversight controls.
Typically 3–8 weeks; classification and scope dependent.
Strengthen financial-crime controls across relevant UK, German and EU obligations.
AML/KYC, sanctions, AMLR, AMLA and GwG applicability, governance and monitoring.
Risk and control mapping, gap findings and prioritised remediation actions.
Scope and entity dependent.
Assess German banking, risk-management and payment-services requirements in context.
Applicability and control review across KWG, MaRisk and ZAG obligations.
Obligation map, evidence review and implementation roadmap.
Scope and permissions dependent.
Prepare governance and evidence for digital operational resilience requirements.
ICT risk, incident processes, third-party oversight and resilience testing readiness.
Gap analysis, control priorities and evidence plan.
Scope and operating model dependent.
Bringing AI into regulated firms safely.
AI use-case assessment, EU AI Act readiness, governance and model-risk frameworks for AI tools, AI-assisted compliance monitoring, automated AML/KYC workflows and API integrations with existing systems.
Use-case assessment and prioritised roadmap, AI governance and model-risk framework, workflow designs and integration requirements.
Scoped to use cases, systems and regulatory obligations.
Regulatory change delivered end to end.
Compliance function build-outs and restructuring, regulatory change programmes (Consumer Duty, MiFID II, DORA and the EU AML package), post-acquisition integration, process redesign, staff training and handover.
Programme plan, target operating model, redesigned processes, training materials and handover pack.
Scoped to programme complexity and delivery milestones.
Independent assurance you can show the regulator.
Compliance audits, monitoring programme reviews, file and suitability reviews, control testing, remediation tracking and board-ready reporting.
Audit or assurance report, tested-control evidence, remediation tracker and board-ready findings.
Scoped to review coverage and sample size.
Whatever your firm needs – tailored to you.
Full-spectrum regulatory requirements across the UK, EU and US, shaped for wealth managers, investment and trading firms, banks, insurers, payment and e-money firms, fintechs and crypto businesses.
A tailored engagement scope, workplan and practical deliverables agreed around your firm’s needs.
Designed around your requirements.
Indicative scope and timelines only. Actual work depends on agreed scope, available evidence and applicable requirements. We do not guarantee authorisation, regulatory approval or a particular supervisory outcome.
Discuss an engagementTAILORED SUPPORT
With experience across wealth managers, investment and trading firms, banks, insurers, payment and e-money firms, fintechs and crypto businesses, we handle the full spectrum of regulatory requirements across the UK, EU and US. If your need isn’t listed, tell us – we’ll design an engagement around it.
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