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Helping you navigate the evolving regulatory environment

Our Regulatory Advisory team of specialists engages with clients on a broad range of issues within the financial services sector, developing and implementing tailored strategies to manage and mitigate many types of financial risk. We also provide regulatory, compliance and risk advice to banks, investment firms, insurance companies, funds and e-money and payments firms.

Our experienced team of specialists will help you in navigate this constantly evolving environment and its associated challenges and can advise on the key requirements necessary for your organisation to successfully adapt to ongoing regulatory, compliance and risk needs.

Our services

01 Regulatory reporting

regulatory interpretation;
regulatory reporting model builds;
reporting process documentation;
procedures documentation;
reporting controls development and review; and
reporting review and resubmission of returns.

02 Regulatory advice

gap assessment against laws and guidance;
best practice and peer recommendation;
compliance status check;
capital and liquidity planning;
remediation activities documenting procedures, policies and process;
compliance universes and obligations register; and
RMPs remediation support.

03 Data and technology transformation

data strategy development;
data governance frameworks;
key data element identification;
data priority ranking;
mapping lineage diagrams;
end-to end data documentation;
system implementation assistance; and
business analyst support.

04 Risk services

review or development of risk management frameworks, risk identification and risk registers;
documentation of processes, controls, and control identification and review;
alignment to regulatory framework;
corporate governance expertise;
risk and regulatory due diligence;
board effectiveness reviews;
training;
drafting and reviewing of Recovery, ICAAP, ILAAP, OCIR and wind-down planning.

05 Regulatory authorisation

banking, MiFID, Insurance, EMI licensing;
regulatory obligations assessments;
business planning (a programme of operations) drafting;
financial projections support;
assessment of regulatory license requirements.

Get in touch

Dwayne Price

Partner – Risk Advisory

Contact Dwayne Price Learn more about Dwayne Price

Why Grant Thornton

Grant Thornton’s industry-leading Regulatory team works with clients across the financial services sector on a range of areas, including regulatory reporting, regulatory advice, data and technology transformation, risk services, and regulatory authorisations. Our team consists of senior ex-CBI/ECB regulators and industry SMEs with detailed, expansive experience and knowledge.

At the heart of our service is our experts’ deep understanding of the key issues and their ability to provide practical, responsive support. When drafting and implementing our services, we know what works, what doesn’t, and what regulators require to ensure compliance at every step. Building on this foundation of knowledge and experience with both clients and regulators across the financial services sector, we minimise your exposure in an increasingly complex market.

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