Recent Experience

We serve a wide range of clientele ranging from large global organisations all the way through to newly authorised firms.

Our clients include Investment Banks, Broker Dealers, Wealth and Asset Managers, Fund Managers, Fin Tech Firms (including Crowd Funding, P2P and E-Money), and Outsource Providers.

Every client relationship is valued greatly. Each engagement benefits from the depth and breadth of our experience.

Case Studies

Project: End to end CASS product and services review at a Private Bank

Feedback from the Global Head of the Private Bank: “It’s been spectacular working with you and your team. Your knowledge and professionalism really is quite something to behold!”

Project: CASS SME support during a S166 at a Global Investment Bank (consisting of a Prime Broker, a Private Bank, a Broker Dealer, a Custodian and an Asset Manager

Feedback from the Global CAO: “Rosediem delivered beyond every expectation with great technical advice and professional stakeholder management throughout. One of the most pleasurable consultancy firms to work with…....The CEO Nisha would be one of a handful of professionals I have worked with in 28 years that I would always turn to in order to seek counsel and advice.”

Project: End to end client money review at a large Asset Manager

Feedback from the COO: “I asked for help with CASS which was provided to a market leading standard. I also ended up with market leading advice on my operational practices, governance arrangements and my infrastructure around exchange traded derivatives. Thoroughly impressed.”

Project: Review of CASS Governance arrangements and the design and rollout of a CASS governance framework at a Fund Manager

Feedback from the COO: “Rosediem were engaged to review our CASS governance. Their technical knowledge plus their industry awareness provided us with excellent context to their recommendations. They were able to provide very detailed regulations in an adaptable way – delivering board level and general CASS training and pitching both with their audience in mind. We will be continuing our partnership with Rosediem.”

Project: Delivery of CASS training to the Board, Front Office and all other staff

Feedback from the CF10a and Head of HR: “Rosediem ran a series of c.15 CASS training sessions for us. Feedback from staff at all levels, including our Non-executive Directors, was outstanding. The presenters were engaging and provided great market context along with their material. The Head of our Front Office went as far as saying that he enjoyed the regulatory training. Thank you Rosediem.”

Project: Legal agreements and on-boarding review

Feedback from the Managing Director: “Rosediem assisted us with re-baselining our whole operational process and the contractual terms we have in place with our clients. It’s a very rare skill-set to be able to do both. The operational side of the process is now well controlled and much more efficient. Rosediem even reviewed the agreements that were drafted by our external lawyers and were able to make them more watertight from a commercial credit risk standpoint and a regulatory standpoint.”

Project: Delivery of SMCR rollout for Board

Feedback from the Chairman: ‘Rosediem did an excellent job for us on this new and controversial area of regulation. Without any precedent, they were able to design a model that met the regulation, made our processes more efficient and also helped us to manage our personal risk.”

Project: Board Training

Feedback from a Board Member: “Rosediem were engaging and knowledgeable. The Board training was well received and has certainly provided us with some insights into our organization and some ideas for what we can do to improve our current frameworks. Best Board presentation from any Consultancy to date.”

Project: MiFID II planning

Feedback from the Head of Legal and Compliance: “Without Rosediem we would not have considered the knock-on impacts of our contractual changes to our operational arrangements. We already had other advisors on board but the advice Rosediem provided was superior and has likely saved us from getting it wrong.”

Project: Project Management Support

Feedback from a Board Director: “In this market good project management is hard to come by. Rosediem Project Management support was outstanding and the individual that assisted with overseeing our delivery was an experienced senior professional.”

Project: FRC and CASS Governance Framework

Feedback from a Board Director: “Rosediem has a tried and tested model for mapping CASS rules and processes. Their model also assists with managing CASS governance as a whole and personal accountability risk. We will also be able to use the new framework to assist with Board decisions.”

Project: End to end review at a large outsource provider

Feedback from the outsource provider: “Rosediem were engaged to critically review our service models. Rosediem were the best we have worked with so far. It was refreshing that they could understand our model quickly and teach us so much. We deal with every large audit firm as an outsource provider and can confirm that no one else can match this standard of quality and technical expertise. We very much valued their Feedback and the quality of their work.”