You’re under regulatory scrutiny and you need external support to fix the issues that have been identified by the Regulator. You need a consultancy that can move quickly and hit the ground running. You don’t want an army of juniors that you need to spend significant time training on the job, you want experienced hands that can calm the situation quickly.

You’re new to role and would value an honest, independent review on what you’ve inherited – ultimately providing you with a view on the areas that require attention. You are pro-active in your approach. You want to know if there are any issues that need addressing, rather than waiting to be told by a Regulator. This could be an SMF 16 / 17, but equally, one of the C-Suite.

You’ve got progressive ideas, a pioneer perhaps. You’re convinced that the current approach to compliance is broken. That there are better, more effective ways of working that are firmly fixed on the goal – reducing harm. Some processes at your firm are carried out seemingly without thought to their purpose. You’d like advice on the art of the possible, how others have approached similar challenges, how a Regulator would view your innovative approach – and ultimately assistance with the execution of the strategy.

You’re overwhelmed with a tidal wave of regulation or perhaps unforeseen circumstances – e.g. multiple leavers in your team. You need short term support (secondment) to plug the gap from a consultancy that will provide you people that will roll their sleeves up and add value from day 1, releasing some of the pressure on you.

You see great value in fostering a strong and healthy culture. You see this as a key catalyst to unlocking your firm’s potential. However, despite recognising this, you are unsure where to start with so much out there from Regulators and others. You’d appreciate a consulting partner that listens to the culture you want to foster (not be told what your culture should be) and help you break that down into manageable, measurable actions that helps move the dial and ultimately realise the potential you know exists at your firm.  

Like us, you think you can do a better job than current players in the market. You’ve set up you’re firm and you need to get your regulatory permissions – you need to get authorised. However, your skill set is not currently in the regulatory compliance space. You want a pragmatic consultancy that can quickly grasp your business model and advise on what you need to apply for and how to do it. You also may have never dealt directly with regulators and would appreciate support in navigating what can sometimes be a tricky path. Cost is important to you as budgets may be tight at this point in time. So you want real bang for your buck in terms of quality of advice that gets you where you need to be in short order.

You are acquiring a financial services firm and would appreciate a targeted regulatory due diligence report in order to inform you of any regulatory challenges that the target firm are dealing with, or likely to be dealing with. You want a consultancy to use their insights into what Regulators are focused on, and pace and breadth of coverage are also important. And in terms of the report you’d like something to the point that quickly draws the reader’s attention to the key observations – including a pragmatic view on materiality.