Organisations must establish internal processes to meet regulatory and other (e.g., risk) reporting requirements. We offer a range of regulatory compliance and reporting services. These focus on:

• Supporting the development and interpretation of new regulatory requirements, drawing on our understanding of the pan-European context in which these requirements are established (e.g., the UCITS III Directive, the European Commission Recommendation on the use of financial derivative instruments by UCITS, the domestic implementation of these European requirements such as AMF’s Instruction 2006-04 in France, Financial Regulator Guidance Note 3/03 in Ireland, CSSF Circular 07/308 in Luxembourg);
• Performing feasibility studies to assess the impact of new regulations on an organisation’s current capabilities, and identify those areas where change is required (e.g., gap analysis);
• Managing the implementation of changes required by new regulatory and reporting approaches;
• Performing independent quality assurance and health check reviews;
• Assisting in preparing;
• Validating existing reports (and reporting infrastructure) against operational and regulatory requirements;
• Assisting in preparing clear and precise documentation with respect to risk management for presentation to, or filing with, regulator, clients, prospects and/or management for existing investment companies (e.g., UCITS) and/or new investment companies being established.

Case studies

Basel II Subject Matter Expertise;

Credit Risk Model Waiver Application Process;

Credit Risk Model Validation;

Asset Securitisation Framework;

Basel II, Pillar 2 (ICAAP) Pre-Implementation Analysis;

Basel II, Pillar 2 (ICAAP) Pre-Implementation Analysis;

Basel II, Pillar 2 (ICAAP) Pre-Implementation Analysis;

Implementation of the requirements of CSSF Circular 07/308 on Risk Management;

Basel II, Pillar 2 ICAAP Diagnostic and Gap Analysis;

Basel II, Pillar 2 Pre-Implementation Analysis;

Basel II, Pillar 1 Reporting Analysis;

ICAAP diagnostic and gap analysis;

Regulatory Risk Gap Analysis;

Regulatory Risk Gap Analysis;

Implementation of the new liquidity risk regulatory regime;

Review of Internal Capital Adequacy Assessment Process, including Risk and Capital Strategy, Risk and Capital Policy, and Liquidity Risk Management Framework;

Intra-group and Whole-firm Liquidity Application;

Pre-ARROW visit and Preparation and Support;

Development of Operational Risk Appetite and Reporting / Project Remediation;

Risk and Regulatory Training & Infrastructure Development;

Conduct Risk Strategy Implementation