Services
Regulatory Governance Consulting Limited
provides Board level and specialist subject matter training
on a bespoke and off the shelf basis, as relates to Board and Company Director responsibilities
as well as regulation, governance and control
more broadly. Training may be delivered directly, or in conjunction with established industry bodies.
Regulatory Governance Consulting Limited also offers a proactive comprehensive review of your organisation’s regulatory reporting and Client Assets (CASS) governance, establishing and enhancing your organisation’s capabilities on demonstrating traceability from regulation through to practice, with a focus on governance and controls
from Board level to Business As Usual.
Regulatory Governance Consulting Limited
specialises in providing pragmatic and practical regulatory, governance and control assistance to small and medium sized firms, as well as large firms with a small to medium scale
regional presence. Services
include regulatory healthcheck, design, review and validation of regulatory reporting and CASS governance and controls, inclusive of
change management and quality assurance / testing frameworks; regulator and authority enquiry management framework; regulator and authority enforcement remediation framework.
These services are complemented by a Senior Managers and Certification Regime (SMCR)
assistance offering, aiding firms to ensure appropriate implementation
of all parts of applicable regimes and the design of a practical workable framework for ongoing compliance
requirements.
Regulatory Governance Risk Mitigation
A mature penalty process
is operated by regulators and authorities and penalties have been repeatedly levied
upon regulated firms whom do not meet the expected and required
regulatory governance and control standards for
regulatory reporting, CASS and many
other regulations.
Establishing and effecting traceable, robust governance and control across the three regulatory adherence pillars of Regulation, Requirement
and
Practice, is key to ensuring
demonstrable regulatory compliance confidence.
Regulatory Governance Consulting Limited can assist your organisation across these pillars as follows:
Requirement:
Process & Procedure
Demonstration of a robust governance approach through mapped, documented operating.
Practice:
Functionality & Controls / Culture
Demonstration of a robust governance approach through documented, validated controls and targeted culture, inclusive of change management and quality assurance / testing frameworks.
CONTACT US
CONTACT US
Please contact Regulatory Governance Consulting Limited
on telephone +44 (0) 7889 748 311, by completing the below form or by selecting the email icon in the next section:
Sarah Peaston
Director
Founder and Director, Sarah Peaston has enjoyed a Financial Services career spanning over two decades in US, UK and European investment banking organisations (Goldman Sachs, Citi, Barclays, Societe Generale).
Sarah has devoted over 15 years of her career to Regulatory Control; Project and Programme managing and leading Change Management and Quality Assurance teams, covering multi-jurisdiction Regulatory and Authority Reporting, Client Money and Assets and overall Regulatory Governance and Control. Sarah has defined and executed regulatory strategy and governance framework to support support multiple business types along the investment chain, leading local and remote teams to deliver and managing relationships with global stakeholders.
Sarah is an industry and regulatory expert, often working as a leading participant in industry association groups, partnering with peers and regulators to review, shape, influence and advocate regulation. Sarah has appeared as speaker and panellist at various industry events and is also an appointed Independent Non-Executive Director within a fund house operating host Authorised Fund Manager (AFM), host Authorised Corporate Director (ACD) and investment management services; including holding the SMF9 Chair role of the Platform offering within the Group.
Sarah is a winner of the Compliance Register Platinum Special Award for Transaction Reporting.
Pleased to be Associated With
TERMS AND CONDITIONS
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These Terms shall be governed and interpreted in accordance with the laws of England and Wales. These Terms may be varied by Regulatory Governance Consulting Limited from time to time. Such revised Terms will apply to the Website from the date of publication.
Regulatory Governance Consulting Limited is a company registered in England and Wales with registered number: 09783729. Please contact Regulatory Governance Consulting Limited with any enquiry related to these Terms.
About UnaVista:
UnaVista is an award-winning technology platform from the London Stock Exchange Group. UnaVista helps firms to reduce operational and regulatory risk through a range regulatory reporting, reference data and analytics solutions.
As a regulated platform UnaVista helps thousands of firms meet their compliance obligations, reporting more than 8 billion transactions for global regulations including EMIR, MiFID II across all asset classes.
With over 60 members, UnaVista's Partner Programme gives firms an opportunity to be part of one of the largest RegTech communities in the world. Firms wishing to partner with UnaVista and be part of the community can leverage this expertise to enhance their own offerings and to provide a more integrated approach for clients’ regulatory needs.
UnaVista's Partner Programme brings together the world's leading financial services technology and consultancy firms to help the markets become more efficient and reduce operational and regulatory risk.
