Help for
Regulators
The Challenges
- Coping with non-compliance by firms causing significant customer detriment.
- Need to train staff with limited product regulatory or legal experience to act with authority.
- Need to provide technical training material for staff.
- Need for better drafted more practical rulebooks.
Solutions
- Review guidance drafting.
- File checking.
- Opinions on compliance issues and individual files.
- Consumer Complaints and Compensation.
- Workshops, training and consulting sessions on compliance, product, strategic and legal issues in the UK, MiFID and Hong Kong.
- Training material provided for staff training.
- Re-drafting rulebook groups.