Regulatory Compliance.

Overview

GDFM Regulatory Compliance Practice exists to provide regulatory expertise coupled with deep business understanding, to assist our clients in achieving practical, pragmatic and robust regulatory governance and control.

GDFM Regulatory Compliance Practice seeks to enhance and embed regulatory culture and practice within our clients’ organisations, whilst ensuring practical operability within established business and support structures.  This is combined with deep business and regulatory knowledge to enable seamless partnership with our clients and from Board to BAU.

GDFM is a Consulting Partner within the UnaVista Partner Programme (part of the London Stock Exchange Group), which brings together experienced professionals who are passionate about solving issues from technology, regulatory and operational risk.

Capabilities and Framework Detail

GD Financial Markets Regulatory Compliance Practice provides regulatory governance and control, assisting firms to operate enhanced regulatory compliance capabilities and ensuring a demonstrated traceability from regulation through to practice.  This is achieved through a practical and pragmatic approach applied to establishing an appropriate front to back regulatory governance framework, strategic regulatory structuring and remediation, focus on core regulatory obligations and an organisation’s regulatory culture. 

The Practice team contains industry and regulatory experts, with front to back experience across the investment cycle.

Regulatory Governance and Control Frameworks can be designed and implemented, in line with an organisation’s operating structure and with practical and pragmatic considerations for application along the Front to Back business flow and across horizontal support structures. Including design, review and validation of regulatory reporting governance and controls, inclusive of change management and quality assurance / testing frameworks; regulator and authority enquiry management framework; regulator and authority enforcement remediation framework.

Validation against a predefined standard looking across from a regulation’s inception through to practice and focussing on F2B governance and control.  The output is a report with categorised observations, recommended framework and remediation components to address regulatory governance and control risks identified (please refer to section 5).

Tailored, practical, pragmatic, remediation and solutions, including technology infrastructure review and design, to achieve enhanced regulatory governance and control.

Transaction reporting and transparency reporting Front to Back governance and control framework assessment, validation, enhancement, solutions and remediations for specific regulations or obligations and bespoke regulator / authority reporting requests.

Client Money, Client Assets, CASS RP, SCV Front to Back governance and control framework assessment, validation, solutions and remediations; Independent CASS Custody, CMAR and CASS RP Quality Assurance and testing (please refer to section 06).

Board to BAU and SM&CR Front to Back governance and control framework assessment, validation, enhancement, solutions and remediations; quality assurance; regulator Principles, Fundamental Rules and internal values mapping and traceability.

Expert regulatory governance and control training, regulation aligned training, firm bespoke training, Board training.

Practical preparedness for regulatory assessment on front to back governance and control approach / bespoke regulatory activity. 

Structured, controlled, management design, implementation and support to manage regulator / authority dialogue.

Design, oversight, implementation of regulatory activity management and remediation  from inception to BAU.

The Regulatory Compliance Practice is led by
Sarah Peaston

Sarah has devoted over 10 years of her career to Regulatory Governance and Control; Project and Programme managing and leading Change Management and Quality Assurance teams, covering multijurisdiction Regulatory and Authority Reporting, Client Money and Assets, Customer Protection and overall Regulatory Governance and Control. Sarah has defined and executed regulatory strategy and governance framework to support multiple business types, along the investment chain, leading local and remote teams to deliver and managing relationships with global stakeholders.

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