We need a flexible, responsive partner who can provide us with the expertise and support we need to complete an effective regulatory authorisation application.
TCF’s regulatory experts provide a full range of authorisation application services from light touch advice and QA to a fully managed programme of activities to complete the application and generate the supporting materials.
We want to make sure our systems and processes are compliant with regulation. We want to know if they are compliant and get help to upgrade them if they aren’t.
TCF’s systems and process experts provide a comprehensive set of services to review and improve compliance across the whole range of business systems (e.g. tech and enterprise risk) and business processes (e.g. complaints management, AML and marketing).
As an investor I want a regulatory expert to carry out an assessment of the company I am planning on investing in or have invested in to provide me with assurance with regard to its regulatory “health”.
TCF provide a top notch cadre of ex-regulators who can assess and advise on the likely exposures an investor may face with regard to their chosen investments.
We need expert advice and support to help prepare our Board and Senior people to comply with the FCA’s and PRA’s requirements for senior managers in Financial Services institutions.
TCF provide a team of experts with the knowledge required to prepare and support senior executives to interact convincingly and successfully with regulators.
We need expert help with the volume and/or complexity of the compliance work we need to complete to satisfy the regulator’s requirements.
TCF can rapidly mobilise experts to provide a wide range of support services to a firm’s compliance capability at a firm’s point of need – whether that’s to support an unexpected remediation programme or respond to a regulator’s request for information.
Simple – we need experienced support to structure and manage a regulatory programme.
TCF’s highly proficient programme and project managers can be deployed at speed to support the management of complex regulatory programmes and workstreams.
We are told we need to have the right culture, but how are we supposed to know what this is, how to develop it and how to measure it?
TCF provides a unique culture development service and tools to enable clients to understand, enhance and monitor their culture to ensure it is supporting their business and compliance agenda.
We need to ensure our staff are aware of and acting in line with the regulator’s requirements of a Financial Services workforce. We need help to develop and/or deliver appropriate training at an effective speed and cost.
TCF provide expert trainers and coaches to design, deliver and QA regulatory training and coaching interventions.