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CASE STUDIES

Discover how our expertise has had a positive impact on our clients. Dive into the success stories of some satisfied customers, and let their experiences inspire you to take the next step. Learn how we can assist you in achieving similar results, and get in touch to unlock the full potential of our services.

Strengthening defences against market abuse

A financial services platform firm wanted to strengthen its email and messaging systems against market abuse. And to do so fast! We built them a database of phrases (lexicon) that could be indicators of market abuse if used on their firm's recorded systems and which their IT team implemented. We also advised them on how to grow and improve the lexicon themselves.

Help! We need to review our permissions

The Head of Compliance at a corporate finance firm was worried that regulations may have changed considerably in the seven years since the company was authorised to do business. Did they still hold the right permissions for their business model? We ran a review to ensure we understood which of their activities and types of investment and services were subject to regulation and ensured the business knew what to do to comply with these. We also found opportunities that enabled the firm to change fee block and so considerably reduce their regulatory fees and levies.

Lightening their workload

A compliance officer at a pan-European investment advisory firm needed confidence the company was still complying with all the rules that applied to its business three years into their authorisation from the Financial Conduct Authority (FCA). The trouble was, they were covering several other roles at the same time. We lightened their workload by going into their offices to do a ‘health check’, updating multiple documents and making some Principle 11 notifications to ensure the FCA was fully aware of how the firm had changed and developed since it had first been authorised.

Avoiding a serious regulatory breach

When a client was contacted by the FCA because their latest regulatory return showed a material deficit in their regulatory capital that they hadn’t notified the FCA about, they were obviously concerned. We spoke to the FCA and arranged for the capital to be brought up to the required level over a few weeks so that no enforcement action was taken.

Individual, expert advice

An individual with more than 30 years of experience had been previously turned down by a regulator when they applied to hold previous Senior Manager Functions (SMF) roles. They turned to us. We discussed an upcoming interview, the regulatory approach, areas to focus on, and how to demonstrate their competency and capabilities. The FCA approved their application within a week of their interview.

Embedding ‘in-house’ know-how and confidence

A banking firm used a consulting firm to help them implement the Senior Managers and Certification Regime (SMCR), but had been left with limited understanding about what exactly had been implemented. The firm needed help to fully embed the implementation and create far better understanding and buy-in from their senior managers. One major challenge was their approach to taking ‘reasonable steps’. We provided training and templates and drafted internal policies and procedures. Individuals in their SMCR office then had the confidence to operate the regulatory regime day to day.

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