CLIENT STORIES

  • ICARA and Wind Down Planning

    Our client was a financial services company that offers several wholesale services across multiple asset classes, including Energy and Commodities.

  • Client Money Variation of Permission

    Our client was a financial services company that offers wholesale broking services.

  • Image of the London Eye

    Front Office Risk and Control Self-Assessment

    Our client was a global interdealer broker.

  • Image of High Rise Building in the shape of a Pyramid

    Information Risk Management

    Our client was a private equity owned FCA authorised fintech that employed c. 500 people.

  • Operational Resilience

    Regulatory Change Programme for Operational Resilience

    Our client was a global interdealer broker that employed c. 10,000 people.

  • Risk Taxonomy

    Our client was a UK-based firm that develops and manufactures point of care medical diagnostic platforms employing c. 1200 people globally.

  • Image of London across the Thames

    Financial Fraud Risk Assessment

    Our client was a UK PLC FX trading firm providing high touch FX services to clients.

  • Business Process Modelling

    Business Process Modelling

    Our client was a global interdealer broker that employed c. 10,000 people.

  • Support with FCA Registration

    Support with FCA Registration

    Our client was a financial services company that specialises in providing liquidity for the cryptocurrency markets.

  • CPD Accredited Training

    CPD Accredited Training

    Our client was a global energy and commodities firm providing services to enterprise-level, multinational and nation-state customers.

  • Wind Down Plan with Gap Analysis

    Wind Down Plan with Gap Analysis

    Our client was a provider of mortgage underwriting, mortgage servicing operations and risk, investment, capital markets and other support and management services to the wider Group and third parties employing c.600 people globally.

  • Market Abuse Risk Assessment

    Market Abuse Risk Assessment

    Our client was a global broker group that employed c. 200 people.

  • Amsterdam Architecture

    Operating Model for Operational Resilience

    Our client was a global interdealer broker.