CLIENT STORIES
How We Have Helped Clients
Every firm starts in a different place, but the questions are often similar: what does good look like, are we compliant does what we have scale? Here are a few examples of how we’ve helped clients answer those questions and move forward with confidence.
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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.
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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.
GET IN TOUCH
Ready to talk about a specific challenge?
Please get in touch with us if you would like to discuss anything. We are more than happy to have an informal chat about your requirements and answer any questions you may have.