Whether you are a senior manager subject to the UK SM&CR regime, or are developing an internal control framework; we have experience in helping clients meet their regulatory responsibilities and build governance models that are workable and designed for your business.
Management
SM&CR – Advice and training for firms and personnel subject to the Senior Managers and Certification Regime. We have helped firms implement practical steps to allow the regime’s objectives to be met and allowing senior management to ensure they are in compliance with their responsibilities.
Whistleblowing – Management has specific responsibilities with respect to drafting and maintaining an appropriate whistleblowing policy. We have helped firms draft their policies and guided others on remediation actions.
Frameworks
Governance Framework - We have helped firms build out a governance and control framework incorporating the 3 lines of defence model. We tailor our advice specifically for each client and build a workable framework suitable for their specific business model.
Conduct Risk Framework - With conduct risk increasingly near the top of management's agenda, we have advised on the build out of a conduct risk framework and designed key controls and conduct MI. We have also worked alongside fellow consultancies incorporating work streams on culture and behaviours into an overall conduct risk framework.
Remuneration - We have assisted firms in complying with the CRD IV and EBA guidelines on remuneration, including in drafting policy documents around the identification of Material Risk Takers.
Contact us
Contact us to discuss in further detail any risk or regulatory issues you have in mind.