Regulatory change programmes
Impact assessment, requirements, design and implementation for new and changing regimes, with clear owners and a controlled plan from day one.
Programme leadership for investment managers and the firms that serve them
From regulatory deadline to controlled delivery.
We turn a regulatory deadline or an operating model problem into a controlled plan with clear owners, approvals and evidence. Programme leadership for investment managers, fund administrators, banks and the RegTechs that serve them.
Since 2007Leading regulatory programmes for global banks and investment firms.
Board levelLegal entity, investment and control decisions taken to boards and COOs.
EvidencedEvery decision, approval and control captured in an evidenced record.
Where we help
Typically, firms call us when…
If one of these sounds familiar, a short conversation is usually the quickest way forward.
- A regulatory deadline is fixed, but the operating model to meet it is not yet clear.
- A change programme has drifted, and confidence from the board or regulator is at risk.
- Interpretations differ across teams, and the firm needs one agreed reading of the rules.
- Delivery is spread across vendors and internal teams with no single view of progress.
Ways to work with us
Engagements sized to the decision in front of you.
Programme recovery
An independent review, a restructured delivery plan and rebuilt governance and reporting, to bring a programme back on track and keep commitments to regulators.
Business case and change catalyst
The hardest point of change is the start. We build the business case and the shared picture of the target state that gets a programme funded and moving.
Programme and PMO leadership
Interim programme direction, portfolio governance and return-on-investment prioritisation, with reporting that boards and auditors can rely on.
How it works
Assess. Plan. Deliver. Evidence.
Assess
Read the rules against how the firm operates today and agree one interpretation.
Plan
Set out owners, milestones, dependencies and controls in one governed plan.
Deliver
Run delivery across internal teams and vendors with clear reporting and escalation.
Evidence
Close with an evidenced record of decisions, approvals and controls for audit.
What you get
Clear outputs you can act on.
Every engagement ends with something your board, your team and your auditors can use.
- Regulatory impact assessment
- Agreed interpretation and requirements
- Target operating model changes
- Governed delivery plan and RAID
- Board and regulator reporting
- Evidenced record of decisions and approvals
Proven track record
Related work.
Anonymised examples. Client names are shared with permission on request.
Global bank, regulatory trade reporting
A trade reporting control framework across three regimes
Defined a trade reporting control framework and secured COO sponsorship. Analysed Dodd-Frank, EMIR and Hong Kong reporting rules to set control standards for each jurisdiction, published a target operating model for completeness, accuracy, timeliness and exceptions management, prioritised control gaps on a risk basis and took the programme through the bank's regulatory investment approval committee.
International bank, capital markets
Dodd-Frank, from statute to swap dealer registration
Directed the bank's Dodd-Frank programme. Broke the Act down by business line, ran a global impact analysis across the legal entity hierarchy, and with legal counsel recommended to the board the entity structure, including the entity to register as a US swap dealer. Built the compliance infrastructure and conduct policies, delivered a rule-mapping governance portal, and enabled execution, clearing and trade reporting across all derivative asset classes.
Global bank, financial crime
Recovering a sanctions screening remediation
Took over a high-profile, reputationally sensitive sanctions screening remediation, secured approval for a full restructure of delivery, rebuilt governance and reporting, and brought the programme back on track to meet its FCA commitments.
Questions
Good to know.
Which regimes do you cover?
Our depth is in EU and UK investment fund regulation, including AIFMD and AIFMD II, UCITS VI, SFDR, DORA, SM&CR, Consumer Duty, CASS, Annex IV reporting, shareholder disclosure and ESMA fund data reporting.
Do you provide interim programme leaders?
Yes. We can lead a programme directly for a fixed period, or advise and support your own programme director, depending on what the firm needs.
Can you work alongside our existing consultancy or vendor?
Yes. We often act as the client-side lead who keeps vendors and internal teams aligned to one plan and one set of controls.
Related services
Often combined with.
Let's make it happen.
Bring one process, one AI idea or one regulatory deadline. In 30 minutes we will show you where the first gain is and how we would prove it.
Book a conversation