Regulatory & Compliance Advisory

We provide a practical conduct framework that protects clients and firms: clear rules, workable processes, and evidence that decisions were fair, suitable, and well-governed.

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Who it’s for

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Asset/wealth managers, brokers/dealers, platforms, payments and lending firms, and any organisation operating with retail/professional clients.

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Scope

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• Governance & Accountability:

  • board charters, role mandates, decision logs for pricing, product approval

• Conflicts & Inducements:

  • conflicts register, gifts/entertainment thresholds, research/inducement controls, disclosures

• Suitability & Appropriateness:

  • client categorisation, risk profiling, suitability reports, appropriateness tests, product governance (target market)

• Best Execution (where applicable):

  • venue selection criteria, monitoring samples, exceptions and price-improvement evidence.

• Client Assets/Safeguarding:

  • segregation, reconciliations, acknowledgement letters, breach handling, client-money statements.

• Complaints & Redress:

  • intake & triage, investigation standards, redress calculation, root-cause analysis

• Whistleblowing:

  • confidential channels, independence safeguards, investigation procedures, reporting to the board.

• Disclosures & Communications:

  • fair-clear-not-misleading, marketing approvals, record of sign-offs.

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