CLIENT STORIES
-
ICARA and Wind Down Planning
Our client was a financial services company that offers several wholesale services across multiple asset classes, including Energy and Commodities.
-
Client Money Variation of Permission
Our client was a financial services company that offers wholesale broking services.
-
Front Office Risk and Control Self-Assessment
Our client was a global interdealer broker.
-
Information Risk Management
Our client was a private equity owned FCA authorised fintech that employed c. 500 people.
-
Regulatory Change Programme for Operational Resilience
Our client was a global interdealer broker that employed c. 10,000 people.
-
Risk Taxonomy
Our client was a UK-based firm that develops and manufactures point of care medical diagnostic platforms employing c. 1200 people globally.
-
Financial Fraud Risk Assessment
Our client was a UK PLC FX trading firm providing high touch FX services to clients.
-
Business Process Modelling
Our client was a global interdealer broker that employed c. 10,000 people.
-
Support with FCA Registration
Our client was a financial services company that specialises in providing liquidity for the cryptocurrency markets.
-
CPD Accredited Training
Our client was a global energy and commodities firm providing services to enterprise-level, multinational and nation-state customers.
-
Wind Down Plan with Gap Analysis
Our client was a provider of mortgage underwriting, mortgage servicing operations and risk, investment, capital markets and other support and management services to the wider Group and third parties employing c.600 people globally.
-
Market Abuse Risk Assessment
Our client was a global broker group that employed c. 200 people.
-
Operating Model for Operational Resilience
Our client was a global interdealer broker.