Strategic Regulatory

Construct the optimum regulatory architecture for long term success

The amount, density and complexity of controls in modern financial markets are often bewildering and their architecture unclear.

FMLI helps you to ensure that your control environment, whether at the level of the market, regulator or market participant, will be effective and efficient against the legal, regulatory, compliance and commercial risks you face.

It is in the nature of competition that all financial markets and their participants will try to differentiate themselves from each other. Accordingly, off the shelf solutions do not work.

FMLI helps design bespoke solutions with you, whether you are a new entrant, restructuring your business, or updating your control environment, using its leading compliance model, the FMLI Five Compliance Forces Model.

Market restructuring

The capital markets of one of the leading Central European states were restructured.

A multi-national, multi-disciplinary team was assembled to meet the challenge of the project, the largest technical assistance project of the European Bank for Reconstruction and Development to date.

Extensive market research was carried out, the legal base restructured, market structures improved and ringfenced against financial crime. This was all backed by comprehensive training and designed to assist EU entry.

Innovative solutions were developed to ensure that the project succeeded where previous attempts had failed.

Cross border restructuring

One of the world’s leading investment banks requested assistance in restructuring their pan European operations to take full advantage of the new EU regulatory environment.

EU and UK advice was fed into a strategic development plan, along with the advice from a European team of like minded lawyers to position the bank in readiness for the next stage of its development.

It is not only market regulators and large financial institutions which need assistance with their control environment.

FMLI helps government departments, central banks and law enforcement in establishing or re-engineering their control systems and processes.