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          Regulatory Consulting

          The ever-changing nature of financial regulation has become one of today's most complex business challenges. Working with expert advisers is the key to staying ahead in a competitive world.

          DWF Regulatory Consulting

          Our clients trust us to provide an exceptional level of regulatory advice. We work across a range of sectors where we have in-depth industry knowledge, including financial services, insurance, retail, transport, local government and energy.

          In the financial services sector we work with Asset Managers, Banks, Brokers, Consumer Lenders, Fund Managers, Investment Managers, Payment Firms, Private Equity investors, Trustees, and Wealth Managers.

          Our approach enables firms to manage the volatility, complexity, uncertainty and ambiguity resulting from evolving financial regulation; we help firms address these issues and anticipate the impacts of regulatory change on their business.

           

          Our expertise

          Our Regulatory Consulting team has a detailed understanding of the effects of financial regulation. We offer a range of strategic, business as usual or problem solving solutions. These include:

          Interpreting and implementing complex regulatory change programmes including the Senior Managers & Certification Regime (SM&CR).
          Helping businesses to create the right culture, and ensure good outcomes for their customers, including Part IV Authorisations and advice on day-to-day conduct.
          Including health checks, compliance monitoring, internal audit services and regulatory due diligence. We help businesses prepare for transactions and assess the potential risks.
          We provide Board Effectiveness reviews, Governance reviews and can help you achieve the most effective target operating model for your organisation.
          We have experience of running remediation programmes of varying size, scale and complexity, whether this is something firms are required by the FCA to perform, or whether firms decide to voluntarily undertake a past review exercise, to consider risk within the business, or to focus on specific themes within its client base. This includes areas such as Defined Benefit (DB) Pension Transfers. 

          What makes us different

          We believe that regulation can be a differentiator, helping firms to innovate, stand out and create trust with their customers, rather than simply being a cost of doing business.

          Our team combines business advisers with legal expertise, and we are experienced in working with financial regulators. The diversity of our team enables us to deliver bespoke commercial and compliant solutions to a range of regulatory issues. Our team is led by senior individuals who are regulatory experts with many years of industry and advisory experience including acting as 'Skilled Persons' leading FCA and firm instructed Section 166 reviews. We can truly operate as business advisors to help your firm not just survive but prosper. We are also a Member of the Association of Professional Compliance Consultants and won the 2019 Compliance Register Award for 'Best Law Firm – Regulatory Advice'.

          People

          Andrew Jacobs

          • Partner and Head of Regulatory Consulting