- Authorisations: supporting applicants successfully achieve first time authorisation approval from various regulators, ranging from bank branches, consumer credit, payment services, crypto, e-money, benchmark administrator to asset management, private equity, broker, and investment firms. Assistance included advising on the structuring, perimeter scope, governance, SMCR, regulatory requirements, drafting agreements, risk assessments and policies and procedures, and providing ongoing regulatory, risk and compliance advice post authorisation.*
- Independent governance and financial crime assurance review: assisting a branch and subsidiary of a large bank conduct an independent review of its overall governance and financial crime arrangements. Advice included assessing Board and Committee governance arrangements, its financial crime framework, risk assessments, policies, procedures, terms of reference of governance committees and minutes of their management meetings and providing a recommendation report.*
- Market conduct rules mapping: advising a global bank in relation to the updating of a market conduct rules map, including reviewing the bank's associated policies and procedures and mapping them against the rules matrix and risk and control categories, and advising on enhancements.*
- s166 and shadow s166 reviews: leading s166 and shadow s166 financial crime systems and controls reviews for various firms.*
- Ongoing regulatory compliance support: providing ongoing regulatory compliance support to a number of private equity, venture capital and asset managers which included attending board meetings, reviewing the MI packs, assessing the compliance reports, sample checking their monitoring, providing training across diverse topics, working on regulatory change projects including providing ongoing legal and compliance advice.*
*experience prior to joining Addleshaw Goddard.
