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Compliance operations assessment

Reviewing and reporting on the operational capability of a financial institution’s UK compliance function, including making recommendations for improvement.

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SMCR assurance

Conducting assurance exercises to stress test governance arrangements against the requirements of the Senior Managers and Certification Regime.

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Conduct risk management

Reviewing a financial institution’s conduct risk and governance arrangements in response to an FCA evaluation.

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Ethics report

Authoring a report on Ethics in Banking and Finance in conjunction with UK Finance.

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Compliance review

Advising an EMEA Head of Compliance on a firm’s internal review of the compliance function.

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Explore our client services related to Regulatory risk advisory

Our risk advisory lawyers work across several areas of potential risk including: