Pragmatic regulatory risk and governance advice and support for financial services firms, regulators, IFCs and Ministries
Pragmatic regulatory risk and governance advice and support for financial services firms, regulators, IFCs and Ministries
Governance, Risk and Compliance Advice.
Board Advisory.
Internal risk and control framework development and review.
Skilled Person Reviews.
Help with applications for waivers and modifications, and responses to consultations.
Preparation for regulatory audits and support through process and follow-up.
Support with know your customer, due diligence, suitability and confidentiality issues.
AML and financial crime.
Training.
Guidance and support throughout the application process.
Communication with the regulator.
Document review and development, including: regulatory business plans; governance, risk and compliance frameworks;
policies and procedures; applications and supporting material.
Board Briefings and Induction Training.
Advice on centre and regulator development and strategy.
Development of regulatory framework and objectives within international standards, while meeting specific IFC objectives.
Advice on structure, controls, policy, development of procedures, forms and guidance.
Review and revision of draft rules and regulations.
Outsourced operational support.
Regulatory Experience
Over 25 years specialising in regulation and compliance over a career spanning 30+ years in financial services.
14 years focused on the introduction and development of regulation in GCC.
Regulator engagement in Central Asia.
Advisory engagement on new IFCs in Africa.
Unique experience in the establishment team of four start-up regulators, namely DFSA, QFCRA, FSRA and AFSA.
Commercial Awareness
Involved in groundbreaking authorisations across four jurisdictions, both as regulator and as consultant.
A depth of experience dealing with applications pragmatically and prudently across the financial services spectrum.
Including banking, insurance, capital markets, private wealth, asset management, Islamic finance, P2P, Crowdfunding and fintech.
Managing Consultant -
Stephen Cemm
Professional qualfications, certifications and references available on request.
Company Number: 10806327
Registered Office: Grove Cottage, 39 Brook Street, Watlington, Oxfordshire, OX49 5JH, U.K.
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www.groveconsultancy.co.uk