Leaman Crellin Limited provides a helping hand to individuals in regulated firms who don't have the bandwidth to get to everything.
Our shop gives you confidence that you have covered the right topics and saves you time reading around, or, downloading a free generic document in the hope it has some relevance but doesn't say what you can do, or worse having to spend large sums hiring a third party to come onsite for weeks on end.
Our clients have discovered the convenience of being able to immediately address a wide range of common issues through our digital downloads knowing the products are written by seasoned professionals with a focus on being practical, easy to follow, and implement.
Resources are finite
Whilst the financial services sector benefits from a deep pool of regulatory compliance personnel, resources and time are finite. Many firms are finding they need to be across a broad number of regulations and sometimes to a technical depth that requires time to learn and keep up to date.
When a new requirement comes out or a new risk or issues is identified, often there aren't enough hours in the day to do the research, identify the salient points and put that in a way that is immediately relevant for their firm. This isn't a competency issue it's purely capacity. Our digital downloads are available to download 24/7 and give you the capacity you need whenever you need it.
Span of Regulations
Financial Services regulations span a diverse and broad range of products and services some of which are very technical. By their nature the regulations can also become technical. They can also be presented in a negative way: this is what you cannot do.
We prefer to say up front what is just not possible and quickly focus on what is possible and how to achieve that.
Katharine has worked in financial services for thirty years in regulation, insurance, distribution, and banking at ED level. Katharine has had responsibility for the European regulatory compliance function at a major international bank helping balance global standards with local obligations.
Katharine has expertise in technical areas of the rules such as Market Abuse, CASS, SMCR and Outsourcing. As well as issues that have a broader regulatory focus such as market conduct, non-financial misconduct, and conduct risk.
Katharine's career has been about tackling and resolving complex issues and challenges. These range from practical challenges such as how to evidence compliance with all applicable rules at all times, through to establishing global standards for protecting clients assets, to getting a successful outcome from a section 166, skilled person review. Through to regulatory issues such as the Professional Indemnity Insurance crisis of 2002/03, to raising standards of professionalism in the retail distribution sector, and how to proactively engage regulated firms with limited resources through roadshows and one to one's.
Katharine is particularly skilled in navigating the regulator, the FCA, and knowing how to establish and get the most out of your regulatory relationship.
Liam has worked in financial services for 23 years in banking and regulation at MD level. Liam has had responsibility for the European compliance function of a major international bank with global responsibility for FX and macro.
Liam has particular expertise in emerging markets and wholesale banking compliance. This has meant he has implemented major pieces of regulatory change as well as leading on significant remediation and investigations. For example, FX remediation, rogue trader investigations, MAR, MiFID2, Dodd-Frank, EMIR, Volcker, PSD2 and Brexit.
Liam has also run private banking and asset management compliance functions.