Regulatory Risk and Compliance

At Addleshaw Goddard, our understanding of the market, its business drivers and its regulators enables us to deliver practical and creative advice to clients.

Sectors we support

How we can help

Senior Managers and Certification Regime

We are well placed to support you across the whole of your SM&CR implementation or provide quality assurance/testing for firms already subject to the regime.

Find out more

Regulatory Due Diligence

Pre-transaction due diligence in support of corporate M&A deals, back book sampling and identification of regulatory risk within business areas or in response to regulatory scrutiny or investigation.

Find out more

Regulatory Advice

Advice on compliance policies and procedures, product design and focussed advice on ad-hoc or specific business practices across all regulatory matters.

Find out more

In-depth technical support for the completion of your regulatory business plan (RBP), undertake analysis of your regulatory permissions against your business strategy and support you on building and implementing the necessary governance, risk management and policy suites, in support of your application.

Find out more

Assurance

Compiling standard toolkits that form the basis of reviews on the requirements of businesses. The toolkit identifies, at a general and more detailed level, what your firm needs to be able to identify to demonstrate compliance and highlight where residual risks appear, due to any evidence gaps.

Find out more

Financial Services Remediation and Past Business Reviews

Welcome to AG Remediate. The exceptional quality you'd expect from a law firm, the project management you wouldn't.

Find out more

Change in Control

Detailed understanding of the technical and practical processes required for a change in control application, including structure chart analysis and other supporting materials.

Find out more

Governance

Assessment of your firm's governance arrangements and culture, including management information review, with a view to making systems of governance more effective, with a clear definition of the Conduct Risk Framework, including training and support for Approved Persons and Senior Managers.

Find out more