Regulatory, compliance and governance

With regulation, compliance and governance gaining prominence, pressures on boards to manage risk have never been broader or greater. The ‘G’ component of the environmental, social and governance (ESG) agenda is raising the bar when it comes to making sure your business is well managed, compliant and has a strong governance model.  

Our expertise and insights from across the market address the following challenges:

• strategic governance and management of legal entity compliance: entity set-up, annual requirements, oversight, facilitation of board responsibilities and reporting obligations
• legal entity dissolution: preparation, restructuring, and dissolution of solvent and dormant entities
• regulatory compliance, whether as a result of regulatory change or business change in financial services
• trustee risk and transparency

Whether your challenges stem from a major regulatory development or you just want to manage your compliance obligations in a more effective way, we have solutions that can support you. These include technology powered solutions that can help drive better outcomes.

Rules around remuneration in financial services have seen wholesale change in compliance requirements over the past 15 years. We understand the complex web of rules and support clients, risk takers and shareholders in interpreting them and creating compliant structures.

Dealing with the continuing changes in customers’ financial needs, while meeting legal and regulatory requirements, can be far from straightforward. Our experts combine extensive experience on retail matters with technology to support clients in growing their business while achieving compliance and efficiency.
 

As the deadline in 2021 for the discontinuation of LIBOR approaches, we know organisations are struggling to manage the rate shift amongst competing priorities. Whether it’s analysing contracts, producing amendments, managing complex communication and negotiations, we can offer a solution that combines legal and regulatory insight and AI technology to ensure a successful transition.

If you are a trustee of a trust that holds personal or business assets, issues you will need to address include risk management, meeting your fiduciary duties and regulatory compliance in respect of public registers or trust loans. Trustees need to be prepared for these risks. We can offer guidance on trustee risk management and trust tax and transparency compliance.

SMCR applies to all FCA-regulated firms. We have supported firms with their implementation of the regime and now support them with the increased focus and governance changes it brings to an institution. This includes governance reviews, performance and issue reviews, and engagement with the regulators.

Commodities clients are demanding joined up and practical advice in relation to their trading activities. Our team of experts provides technical and practical advice as part of a multidisciplinary commodities specialist team. Whether it is contracts, reporting, growth strategy or capital, we can offer you support.
 

The Investment Firm Regulation (IFR) and Directive (IFD) will have a significant impact on a range of areas for investment firms, including capital, consolidation, reporting, governance and remuneration requirements. Our solution supports you with implementation and ongoing compliance.

Concerned about getting legal entity compliance wrong? Struggling with regulatory and process variances between jurisdictions? Our solution delivers services in over 130 jurisdictions around the globe and works for small groups of entities or large multinationals. We provide clear processes, technology and economies of scale. 

Understanding what financial services permissions and licences you need when setting up a new business or buying a business is key. We can help clients understand what they need on day one versus the longer term.

Please contact us to discuss any regulatory, compliance or governance challenges you’re facing.