Meeting regulatory compliance shouldn’t be so challenging
A risk-based compliance monitoring methodology can greatly enhance the governance framework around your products and processes.
Huntswood will deliver just that.
Having products and processes independently monitored, with any excess risk flagged early, is key to identifying and swiftly addressing potential customer detriment. The insight produced determines where your processes can be simplified and made more efficient, saving cost and time as well as increasing competitiveness.
Our team of ex-regulators and subject matter experts ensure your firm meets industry best practice and the expectations of your regulator, putting you on the right track towards continuing compliance and good customer outcomes.
What we deliver
Regulatory risk assessment
Annual compliance monitoring plan
Document reviews, interviews and file testing
Development of governance arrangements
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Mitigating risk and delivering good customer outcomes
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Getting the ‘nuts-and-bolts’ right will set your firm up for success
Skilled Person Review (S.166)
Get fully prepared for the review process and any resulting action
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