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Intermediary / Distributor

Whatever your business focus and whether you operate in the investment, mortgage or insurance areas, or all of them, you will know that your sector continues to face ongoing challenges from regulatory change, new rules and legislation and product development.

Challenge: Suitability of advice

Compliance functions within investment, mortgage and insurance firms face a major ongoing challenge in ensuring that their advice and conduct outputs can be seen to be clearly suitable. This is a risk management area that never goes away but is difficult to benchmark and assess with the constant flow of new rules, guidance and thematic work from the FCA. Whilst there may be internal control and review processes how often are these challenged and are they delivering the right outcomes for customers and the business?

Challenge: Past Business Reviews 

Managing the risk of past mistakes or re-balancing unfair outcomes – When firms do get something wrong it is critical to get the managing of a past business review right first time. Only by doing this will customers get fair and equitable outcomes but how can this be done whilst managing regulatory, reputational and cost risks?

Challenge: Regulatory Change and knowing what is right

The volume of regulatory change and challenge has never been greater. From current issues around product due diligence, to the forthcoming Senior Managers Regime for all firms heads a myriad of challenges for compliance functions and senior management. How do you stay ahead or on track?

Our solution

Dealing with the regulatory and business challenges in the intermediary sector needs to be pragmatic and proportionate and tailored to the way in which a firm operates, every intermediary business is slightly different after all.

Eversheds Sutherland Regulatory Compliance Consulting  offers range of tailored services and can help all firm types and sizes and we understand that compliance can sometimes be a grey area and open to different interpretation. There is often only a “best answer” rather than the definitively right answer.

Our range of intermediary services includes adhoc challenge and reactive support through to ongoing awareness and more proactive support for firms and a firm specific tailored retainer support service that includes the matters that are important to you at the levels that suit.

 

Contact us

Ian Stott, Managing Director

Eversheds Consulting - global legal consulting services
Eversheds Agile - flexible working solutions
Financial services regulation and compliance legal services
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