Operational Compliance

Operate the optimum compliance and regulatory architecture to maintain control and boost performance

Once the correct regulatory and compliance architecture has been set, research shows that operational costs plummet. First, because smart systems reduce operational inefficiencies, but secondly, and more importantly, if the systems are sound and easy to follow, they need fewer people to operate them, and the qualifications of those needed are not so high.

Basel II

A leading financial institution requested support in implementing Basel II, a prime example of where a blend of the numbers game and words game is so useful.

It also required a lot of lateral thinking, given that the EU decided to require implementation amongst those other than banks, although the BIS predicated the new environment on banks, and conducted all its research on banks.

We adopted a blended approach, staying close to international regulators and think tanks to ensure optimal implementation.

Senior Management

One of the world’s leading derivatives brokers requested assistance in restructuring and training their senior management to meet the challenges of the new UK regulatory environment.

Their business and reporting lines, management processes and business development were addressed, and a detailed learning package assembled, to reinforce the success of necessary change.

FMLI helps all types and sizes of market participant in establishing or re-engineering their control systems and processes, or redrafting documentation, carrying out training and technical support, or improving client and regulatory liaison.

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Awards