We have been accreddited* by the FSA (now FCA) for working as true independent subject matter experts in Governance, Risk and Compliance areas and have broad experience from FTSE 100 companies to retail distribution channels.
This means you know that we can help your firm with any challenges from Accepted Market Practice to Zone A country definition; from Financial Promotions to Acceptable Social Media Platforms.
We understand that many firms do not have the experienced resource of risk and compliance specialism outside their immediate sphere of operation, and sometimes their external contacts are focused in their specific knowledge or provide "off the shelf" solutions that are inappropriate or outdated in the post RDR world. Often many external suppliers lack a broad or sufficiently deep understanding of the firm's position or regulatory challenges or trade on their brand name to assume credibility transfer. As our consultants are experienced and qualified, as well as working with the top companies, we bring industry best practics and our consultants present a fresh aspect to most issues and challenges.
(*Previously appointed as "Skilled Person" by the FSA)
Financial Services Regulatory risk, Compliance and Strategy consulting generally refers to the provision of information, analysis and associated services in the field of financial services regulatory compliance and risk, with the aim of providing a better understanding of the risks and opportunities facing authorised businesses, market participants, counterparties and trading entities on the financial markets.
CEI Compliance provides risk and strategic consulting to discerning clients and aim to provide those clients with an improved understanding of the regulatory risk climate in which they operate and identify the blips on the radar that are likely to impact them. As such, we have a broader outlook and can advise on strategy as well as conventional regulatory consultancy and are focused on improving our clients position over the medium to longer term. Playing regulatory catch-up is often expensive and creates uncoordinated efforts that do not gel or meld together thus creating business risk that are often greater in their original magnification, harder to manage, or harder to assess. Regulatory risk and strategic consulting is sometimes carried out alongside other activities such as corporate investigation, forensic accounting (including anti-money laundering and sanctions) and the provision of security systems, training or procedures.
Consulting on regulatory risk and strategic facilitation is a more holistic approach to consultancy and as with all development, must initially involve the internal operational 'risk assessment' as carried out by general consultancies. Risk assessment in this sense covers the identification and management of commercial, operational and technical risks within existing operations or known markets. Risk management frameworks and a flexible risk matrix can be designed to have geographical and operational parts to your exact specifications. CEI do not have a "one-sise-fits-all" policy in any area, as each of our client's businesses and internal models are different. Your risk definitions and risk appetiteare likely to be different to similar peer group organisations; and we help you develop it. As a risk and strategicconsultancy we are also concerned with global influences and trends in your business (i.e., Social Media and financial promotions{free whitepaper}), as a good suite of strategic options can accelerate your growth, profits and return on investment many times over the initial cost of engagement and research.
Risk and strategy consultancies should not be confused with international lobbying or advocacy groups, though there could be occasional overlaps in multi-juridictional organisations. Clients of CEI Compliance rest assured that the majority of our work is covered by an international and domestic non-disclosure agreement.
