For all organisations engaged in activities that come under the control of a
regulator, PwC provides support, advice and assurance to help you manage your
regulatory risks. In an ever-changing regulatory environment, we help ensure
that you identify, manage and control any existing and future regulatory risks.
A proactive rather than a monitoring approach to regulation is now a full time
strategic business activity.
Our team consists of experienced regulatory risk specialists, including
ex-regulators, who not only know the rules, but have also implemented and
assessed compliance against them. Our people can help you at the strategic
level - by maximising any competitive advantages from regulation, through to
the operational level - by minimising the costs and disruptions to your
business, freeing up management time in the process.
How we can support
you
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service
Potential issues
- You don’t know whether you are regulated, or will be regulated
- You don’t know whether you comply with your regulator's rules
- You might be spending too much to comply with regulations
- There are too many regulations for you to cope with
- You might be tying up too much regulatory capital in specific
businesses
- You need to plan for staff training in light of new compliance issues
- You are engaged in energy trading and need advice on registering and
reporting to the Financial Services Authority
- Proposed regulations might destroy your business or lead to a loss in
competitive advantage
- You are concerned about the reputational risk from failing to comply with
regulations
- You want to confirm that your sales force is complying with the sales and
marketing code of conduct
How we can support you
- Minimise risk of regulatory fines or enforcement action by your
regulator
- Minimise risk of personal fines or enforcement against your executives
- By taking a proactive approach to addressing regulation and its impact, as
opposed to a reactive ‘fire-fighting’ approach
- Maximise the competitive and strategic opportunities resulting from
regulatory change
- Reduce costs associated with regulatory compliance
- Independent assurance and benchmarking of regulatory compliance
- Benefit from best practice recommendations and experience in regulatory
reporting
PwC's regulatory compliance services include
- Independent assurance of regulatory compliance and benchmarking against
industry peers, supporting your regulatory responsibilities
- Assessment of current and future regulatory risk profile and impact of new
regulations
- Effectiveness reviews of current compliance departments
- Assistance in managing regulatory capital requirements and optimising use
of regulatory capital across a group
- Independent assurance on regulatory financial statements
- Developing and implementing a risk-based compliance control framework and
monitoring programme
- Helping to increase the profile of regulation and an appropriate compliance
culture within your business
- Evaluation of strategic implications of new regulations and integration
into business model
- Advice and assistance with regulatory relations and in meeting regulatory
standards and expectations
- Advice and assistance with getting your business authorised by a
regulator
- Assistance and support in dealing with regulatory enforcement actions and
remediation exercises - getting your business back on an even keel quickly
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