Regulatory Implementation

Regulation is now a constant challenge for banks, requiring increased resources and adding to overheads. Often regulation varies per region and requires constant monitoring. We understand the impact of such continuous change and have the experience and frameworks in place to address it. Action may include the review and updating of processes, systems or the regulatory procedures that banks are obliged to carry out. As a result, our clients are able to manage risk more effectively in accordance with the demands of the prevailing local regime.

Areas of Expertise

Investment Suitability

The recent global banking crisis hit bank reputations and bottom lines, and drove regulators to tighten the rules. The pace of change shows no sign of easing and is such that keeping up is hard. We guide banks through suitability compliance, creating processes that will allow them to meet their obligations – now and in the future. Our framework takes into account client profiling, product rating, controls and disclosures, surveillance and organisational culture.


At a time when it has never been more important for financial institutions to know their customers in detail, banks must be confident of their compliance processes, tools and systems – or risk litigation and significant fines. We work with industry experts to help banks introduce automation to optimise the compliance process, minimising the involvement of staff whose primary roles are in revenue generation. We are often brought in for the post annual review or to assist in the interpretation of new regulations.

Leadership Perspective

White Paper

A technology-led approach to investment suitability

Read White Paper
White Paper

A digital approach to cross-border regulation

Read White Paper



Alfred Auer



Amar Bisht

Senior Manager