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

  • Our Services

    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.
  • Our Services

    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.
  • Our Services

    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.
  • Our Services

    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.
  • Our Services

    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

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 & technology transformation, risk services and regulatory authorisations. Our team is comprised of senior ex CBI / ECB regulators and industry SMEs who have detailed and expansive experience and knowledge.

At the heart of our service is our experts’ depth of understanding and experience on the salient issues and the ability to provide practical and responsive support. When drafting and implementing any of our services, we know what works and what doesn’t work, 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 allows us to minimise your exposure in an increasingly complex market.

Dwayne Price
Partner – Risk Advisory
Dwayne Price