K&E Consultants services

Consultancy and advice on new and existing financial services regulation

Bespoke and personalised assistance in interpreting and applying new or existing regulation to the activities and business of the target firm. Assistance and advice may be provided at the senior management level or to the firm's Compliance team. K&E can provide formal presentations or take part in, run and devise workshops.

Compliance healthchecks​

K&E can undertake a high level review of a firm's compliance with regulatory obligations, ensuring organisational arrangements, policy and procedures, three lines of defence and appropriate management information is in place. A health assessment will be produced which may recommend areas for further review.

Regulatory gap analysis and impact assessment

A formal assessment of your firm's business with regard to the relevant regulation or across any relevant regulatory handbooks and/or rule books. Areas for enhancement or improvement will be highlighted with recommendations for practical implementation.

File reviews

This will involve reviewing a sample of client files either to assess the entire client experience and corresponding regulatory requirements or focused review on specific regulatory requirements.

Regulatory development implementation support

Providing onsite support in interpreting and/or implementing regulatory change. K&E can provide end-to-end practical assistance from interpreting regulatory change and assessing impact on your firm's business to developing and implementing a compliant framework including policies, procedures and controls for the relevant development.

Remedial implementation support

K&E can provide advice and assistance in implementing remedial action, either arising from a regulatory visit, skilled persons report or gap analysis undertaken by the Company.

Regulatory compliance training

K&E can create classroom training materials which are bespoke for the firm based on their business and model. Training can also be delivered.

FCA OR PRA AUTHORISATION

Helping you along the authorisation process whether you are applying to be a small registered AIFM, a full-scope AIFM or even a PRA regulated deposit taker. K&E can effectively and efficiently guide you through to authorisation, draft compliance manuals and monitoring plans so you can get on with running your business. We can also provide you with ongoing compliance support which you may need post-authorisation.