Remain aligned with the regulatory agenda


With many moving parts within a business’s operation, it’s understandable that from time-to-time, some elements may need recalibration to ensure they remain compliant and continue to deliver good outcomes for customers.

Regulatory healthchecks can help regulated firms refine their compliance work for the most effective results. Additionally, they can benefit firms looking to become authorised or vary their permissions (VOPs), as they provide the necessary insight to illustrate any discrepancies between a firm’s proposed approach and the regulator’s expectations.

Enlisting a regulatory expert to periodically assess your firm will enable you to remain focused on business priorities as well as what’s on regulators’ agendas.

Huntswood supports clients by:

  • Analysing their current business model and strategy across products, processes and distribution channels – including deep-dive investigative work within the operation, mock regulatory interviews to assess the articulation of their approach, and analysis of contributing factors such as pre and post-sales activity, internal culture and whether the firm’s governance arrangements assure good outcomes for customers
  • Full gap analysis, assessing your current or proposed approach against regulatory expectations and providing a comprehensive report to illustrate any issues
  • A clear articulation of the any risks to business leaders, ensuring they are aware of the level of risk the firm’s current approach is exposing it to
  • Incorporating new and upcoming regulation into firms’ strategy, processes and governance frameworks.

Key Benefits

  • Gain a clear view of how the business is performing in the compliance arena and address any issues

    Gain an independent opinion of where potential efficiencies lie within processes and products

Why Huntswood

Robust challenge and assurance from team of regulatory experts, many of which have spent years working in regulation in a supervisory capacity

Operational expertise to assess whether business processes are efficient, as well as compliant

A ‘one-off’ assessment which provides deep insight in the most cost-effective manner