Help for

Regulators

back to help

The Challenges

  1. Coping with non-compliance by firms causing significant customer detriment.
  2. Need to train staff with limited product regulatory or legal experience to act with authority.
  3. Need to provide technical training material for staff.
  4. 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.

Help for you

Adam helps a wide range of organisations like yours - from dispute resolution centres, law firms and publishers to life assurers and small IFAs. For a complete list click here

© Adam Samuel designed by Ruby Design