DWF logo

Search

DWF logo

            Regulatory Consulting

            The ever-changing nature of financial regulation has become one of today's most complex business challenges. Working with expert advisers is the key to staying ahead in a competitive world.

            DWF Regulatory Consulting

            Our clients trust us to provide an exceptional level of regulatory advice. We work across a range of sectors where we have in-depth industry knowledge, including financial services, insurance, retail, transport, local government and energy.

            In the financial services sector we work with Asset Managers, Banks, Brokers, Consumer Lenders, Fund Managers, Investment Managers, Payment Firms, Private Equity investors, Trustees, and Wealth Managers.

            Our approach enables firms to manage the volatility, complexity, uncertainty and ambiguity resulting from evolving financial regulation; we help firms address these issues and anticipate the impacts of regulatory change on their business.

            On 7 April 2020 the FCA published its Business Plan 2020/21. The annual Business Plan gives details of the key priorities and the planned specific activities for the next year. The key priorities and planned activities are set out under five overall priorities, six cross-cutting priorities and the four sector-specific areas the FCA will aim to focus on. The Business plan continues to focus on the key themes we have come to expect, including; EU Withdrawal, Innovation and Technology, Operational Resilience, Financial Crime and Culture in Financial Services. Whilst the FCA's policy research in to climate change has also been brought more in to focus. The Business Plan also covers the FCA's evolving response to the Coronavirus (COVID-19) and the impact this will have on planned activity.

            We would be delighted if you could join us on Wednesday, 15 April 2020 for our webinar  'FCA Business Priorities 2020/21' when we will explore the FCA business plan and its implications. Register here.

            We look forward to you joining us.

            In the meantime download our review where we summarise all the key areas for consideration for regulated firms and individuals. Click here to download

            For any question in relation to how DWF Regulatory Consulting can assist you please do get in touch. 

             

             

            Our expertise

            Our Regulatory Consulting team has a detailed understanding of the effects of financial regulation. We offer a range of strategic, business as usual or problem solving solutions. These include:

            Interpreting and implementing complex regulatory change programmes including the Senior Managers & Certification Regime (SM&CR).
            Helping businesses to create the right culture, and ensure good outcomes for their customers, including Part IV Authorisations and advice on day-to-day conduct.
            Including health checks, compliance monitoring, internal audit services and regulatory due diligence. We help businesses prepare for transactions and assess the potential risks.
            We provide Board Effectiveness reviews, Governance reviews and can help you achieve the most effective target operating model for your organisation.
            We have experience of running remediation programmes of varying size, scale and complexity, whether this is something firms are required by the FCA to perform, or whether firms decide to voluntarily undertake a past review exercise, to consider risk within the business, or to focus on specific themes within its client base. This includes areas such as Defined Benefit (DB) Pension Transfers. 

            What makes us different

            We believe that regulation can be a differentiator, helping firms to innovate, stand out and create trust with their customers, rather than simply being a cost of doing business.

            Our team combines business advisers with legal expertise, and we are experienced in working with financial regulators. The diversity of our team enables us to deliver bespoke commercial and compliant solutions to a range of regulatory issues. Our team is led by senior individuals who are regulatory experts with many years of industry and advisory experience including acting as 'Skilled Persons' leading FCA and firm instructed Section 166 reviews. We can truly operate as business advisors to help your firm not just survive but prosper. We are also a Member of the Association of Professional Compliance Consultants and won the 2019 Compliance Register Award for 'Best Law Firm – Regulatory Advice'.

            People

            Andrew Jacobs

            • Partner and Head of Regulatory Consulting

            We use cookies to give you the best user experience on our website. Please let us know if you accept our use of cookies.

            Learn More

            Your Privacy

            When you visit any web site, it may store or retrieve information on your browser, mostly in the form of cookies. We mainly use this information to ensure the site works as you expect it to, and to learn how we can improve the experience in the future. The information does not usually directly identify you, but it can give you a more personalised web experience.
            Because we respect your right to privacy, you can choose not to allow some types of cookies. Click on the different category headings to find out more and change permissions. However, blocking some types of cookies may prevent certain site functionality from working as expected

            Functional cookies

            (Required)

            These cookies let you use the website and are required for the website to function as expected.

            These cookies are required

            Tracking cookies

            Anonymous cookies that help us understand the performance of our website and how we can improve the website experience for our users. Some of these may be set by third parties we trust, such as Google Analytics.

            They may also be used to personalise your experience on our website by remembering your preferences and settings.

            Marketing cookies

            These cookies are used to improve and personalise your experience with our brands. We may use these cookies to show adverts for our products, or measure the performance of our adverts.