Pragmatic Solutions From Trusted And Experienced Advisors

Our Services Are Tailored For Our Clients

We recognise that each client has objectives that are Firm specific and as such we have a wide range of services that can be tailored to each clients' needs. At the start of each engagement our approach is to discuss your specific objectives and in turn the solution that would work best. Our collaborative approach ensures that expectations and deliverables are in line and that specific factors such as time, budget, future plans and more importantly specific requirements are taken into account.

As well as leading the way in the practical application of CASS, we also offer a broad range of services including the Senior Managers and Certification regime (“SMCR”); MiFID II; wholesale Conduct; SYSC; Outsourcing; Operational Risk Management; Project Management; EMIR; Product Structuring; and Governance.

We believe that in today's challenging regulatory environment often more than one area of expertise is required when performing work on a specific topic. It is rare that the root cause of a complex problem is isolated to one specific area of a Firm or one specific area of regulation. Often an end to end knowledge of Firm is required which ranges from accounting treatment, to legal arrangements, to accounting flows, to booking flows of complex financial instruments, right through to trading and settlement.

Our service offerings are broadly captured under the following areas:

  • CASS Training
  • SMCR (Senior Managers Certification Regime) support and implementation
  • Rules to Processes and Controls Mapping
  • End to End Design Reviews
  • SME Advisory/S166 support
  • Secondments
  • Non Executive SME Committee Attendence
  • CF10a and Senior Managers Governance
  • CASS Resolution Pack (CASS RP)
  • Regulatory training
  • Soft skills training
  • MiFID II Advice and Implementation (including CASS Impact Assessment)
  • CASS Health Check
  • Governance Reviews and Framework Implementation
  • Operational Risk Support and Framework Advice
  • Compliance Monitoring Support and Framework advice
  • Internal Audit Support and Framework Advice
  • Reviews of Operational Effectiveness
  • Outsourcing Models and Oversight Framework Advice
  • Management of Roles and Responsibilities in Financial Services

We tailor our approach to every client with a focus on integrity, quality, understanding and will partner with you to come up with solutions that are right for your firm. This enables us to deliver pragmatic solutions from trusted and experienced advisors.

Our Work With Other Consultancy Firms And Law Firms

As a independant Consultancy Firm we are in a unique position where we can work collaboratively with other Regulatory Consultancy Firms and Law Firms. We are continually seeking to build successful working relationships through our tried and tested model as experience shows that often this is the best common solution for our clients. Previous experience working with other Consultancy Firms includes:

  • Providing deep technical expertise and SME support on S166 engagements
  • Providing deep technical expertise and SME support on CASS reviews
  • Collaborating skill sets across common clients
  • Providing specialist training to clients
  • Running specialist forums and workshops for clients
  • Providing specialist knowledge and market insight on technical problems
  • Assisting with rules understanding and practical application
  • Providing support in relation to wider operational processes and controls
  • Seconding associates

Previous experience working with Law Firms includes: