Regulatory Enforcement

If your firm is subject to an enforcement investigation, our specialist staff are able to help and guide you through the process as an independent consultant or indeed as an independent project manager. We can assist with various aspects of the investigation, including:

  • Act as independent project manager
  • Creation of steering group and project team
  • Senior management coaching
  • Aims and expectations management
  • Communication strategy with regulators
  • Maintaining “business as usual”- during an investigation
  • Satisfactory restitution for all parties
  • Change management and process re-design
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Global Advice and Consulting

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Other Areas We Can Help

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Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

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Insights

Compliance

Global Enforcement Review 2020 - AML

Compliance
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Regulatory Enforcement Priorities

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Trends in Penalty Amounts

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No Simple Solution

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