Regulatory Readiness Programme
Section 166, regulatory scrutiny & enforcement readiness.
Strategic, practical and hands-on support for Boards, Senior Managers and control functions preparing for remediation programmes, supervisory engagement or a potential Skilled Person Review.
This executive advisory programme provides practical support to help firms demonstrate robust governance, effective risk management and a strong compliance culture — before supervisory engagement occurs.
Regulatory Readiness Assessment
- Comprehensive review of governance, risk and compliance frameworks.
- Assessment against FCA, MiCA and wider European regulatory expectations.
- Identification and prioritisation of regulatory gaps.
- Executive remediation roadmap.
Section 166 & Skilled Person Review Preparation
- Readiness assessments before a potential Skilled Person Review.
- Review of governance, documentation and evidence.
- Preparation of senior stakeholders for interviews.
- Mock regulatory interviews for Boards, SMFs and key control functions.
- Review of regulatory submissions and evidence packs.
- Challenge sessions to identify weaknesses before regulators do.
Regulatory Inspection & Supervisory Support
- Preparation for FCA supervisory visits.
- Preparation for regulatory meetings and information requests.
- Review of Board packs, committee papers and governance documentation.
- Support responding to regulatory findings and remediation actions.
- Assistance coordinating cross-functional workstreams.
Risk & Control Framework Review
- Enterprise Risk Management review.
- Review of the complete Risk & Control Universe.
- Risk Assessments and RCSAs.
- Control design and operating effectiveness.
- Process mapping.
- End-to-end review of cash flows and client asset flows.
- Governance and committee effectiveness.
Documentation & Policy Enhancement
- Drafting and enhancement of policies and procedures.
- Regulatory gap analysis.
- Review of Compliance Monitoring Programmes.
- Review of Operational Resilience frameworks.
- Outsourcing and Third-Party Risk reviews.
- Financial Crime, AML, Sanctions and Fraud framework reviews.
- Market Abuse controls.
- Consumer Duty and Suitability framework reviews.
- ESG Governance.
- AI Governance.
Audit & Assurance Readiness
- Preparation for Internal Audit.
- Preparation for External Audit.
- Review of audit findings and remediation plans.
- Evidence gathering and documentation support.
- Independent challenge of governance and control environments.
Executive Coaching
- One-to-one preparation for Board members, Senior Managers, Chief Risk Officers, Chief Compliance Officers, MLROs and Operations leaders.
- Regulatory interview coaching.
- Executive communication and presentation support.
Ideal for
- Firms anticipating increased regulatory scrutiny.
- Organisations undergoing significant growth or change.
- Businesses preparing for FCA authorisation or supervisory engagement.
- Firms implementing MiCA or expanding into new jurisdictions.
- Companies strengthening governance before fundraising, acquisition or strategic investment.
- Businesses seeking an independent review before regulators, auditors or investors conduct their own assessment.
Our approach
Our objective is not simply to help firms respond to regulatory scrutiny, but to help them become genuinely regulator-ready. Drawing on extensive experience supporting global financial institutions, fintechs, payment firms and digital asset businesses, we work alongside executive teams to strengthen governance, improve control environments and build sustainable regulatory confidence before supervisory engagement occurs.