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Regulatory & Compliance Advisory

Ensure regulatory compliance and deliver fair outcomes to customers.

 
 

The regulatory landscape continues to change at an alarming rate including GDPR, PSD2, MiFID II and 4MLD. The consequences of failing to maintain a robust regulatory framework are severe. In addition, personal liability under the Senior Managers Regime, which will extend to insurers, reinsurers and solo regulated firms, means that Executives and Non-Executives need to ensure that they have an appropriate risk appetite, robust controls and appropriate management information to make informed decisions.

Businesses are more likely to prosper when they take a pre-emptive approach to compliance. It’s always better to flag potential gaps or breaches to the regulators before an investigation arises. We can help you identify and implement changes that ensure you’re acting in a compliant way. Our Regulatory Compliance service covers:

  • Regulatory implementation: We can help you deliver your regulatory projects by providing subject matter expertise and robust project management.
  • Health checks: Assess project implementation, the functioning of controls, the adequacy of management information, alignment of the Three Lines of Defence, apportionment of responsibility.
  • Remediation: SMEs to lead and project manage, large-scale resource to deliver reviews, reporting and management information support, quality assurance that the right outcomes are being delivered to customers, post-remediation improvement plans. 
  • Governance: Compliance with SMR, mapping of responsibilities, assessment of outsourced services, review of management information, bespoke control technology (ControlNet).
  • Training: Bespoke courses to cover regulatory initiatives, on-shore and off-shore outsourcing training, Executive and Non-Executive workshops, comprehensive training plans.

At TORI we believe partnerships make us stronger. TORI and Momenta are working together to provide clients with leading regulatory solutions, combining in-depth regulatory knowledge and the ability to provide large scale resource to address these issues. Download the brochure below to read more:

 

 

 

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