Regulatory
BakerPlatt’s regulatory team is comprised of individuals who have extensive experience in delivering a wide range of regulatory services to industry.
Combining our legal, accounting and commercial knowledge of financial services business we offer bespoke solutions to the wide range of challenges that present themselves on both a strategic and operational level. In broad terms, our regulatory services operate under the headings of AML/CFT, compliance, fraud, local laws and regulations, and risk management.
Our credentials are exemplary in all these areas. We have acted for regulators, financial institutions and individuals in both civil and criminal matters and also dealt with strategic issues and actions at a government level. The theory we deliver on regulatory matters is backed up by substantial practical experience.
Our professionals have experience in, amongst others, the following areas:
- Drafting policies and procedures manuals covering key business processes, including AML/CFT;
- Facilitating workshops on regulatory issues;
- Providing regulatory updates on a periodic basis;
- Providing in house briefings on key compliance, risk and regulatory challenges;
- Managing the regulator relationship: pre-empting the regulator’s agenda and dealing with regulatory enforcement actions;
- Preparing for and managing the regulatory examination process;
- Handling regulatory censure against firms and individuals;
- Advising senior management and board members on corporate governance issues relating to financial services business and devising appropriate frameworks to deliver results;
- Legal advice and opinions on matters of law.