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  • Services to Regulatory Authorities

    Additional resources when required.

Services to Regulatory Authorities

Our experienced regulatory team provides an experienced and flexible additional resource to regulatory authorities on a day rate or project basis with regard to financial services supervision matters including investigations and complaint handling.

Expertise is also offered in regard to AML/CFT issues across financial services Designated Non-Financial Businesses and Professionals and Non Profit Organisations.

Governance matters are critical to a regulatory authority and we can assist in a number of respects, either in an advisory capacity (to the executive or non executive board of the Authority or to Government) or to provide an experienced independent person to review effectiveness or investigate a complaint. 

  • Preparing for or responding to IMF/FATF Assessments
  • International co operation, law and practices
  • Adopting a risk based approach to supervision
  • Enforcement case management
  • Reporting professional appointments
  • Remit, responsibilities, enabling law
  • Board structure, representation, independence and accountability
  • Objectives and over-arching policies (e.g. licensing policy -v- growth)
  • Decision making process
  • Risk management
  • Resources, competencies, funding and effectiveness
  • International co-operation
  • Managing transparency and key relationships