I advise clients on:
- Establishing new businesses in a way that regulators can be comfortable with, at authorisation and as they grow; and
- Dealing with regulatory problems that arise from time to time for banks and other financial institutions.
I also prepare senior managers for interviews with regulators as part of the regulatory approval process. The objective is to establish a sound working relationship with regulators for the future benefit of the firm and the senior manager, rather than simply ‘getting through the interview’.
All of the work focuses on the client’s regulatory relationships but close attention is also paid to strategy, the business plan and key initiatives for the business.
When advising on problems or issues clients face, the objectives are to reach a practical solution and to support the client in re-setting the regulatory relationship where that’s needed. A key part of this work is to think strategically: looking ahead, to identify and assess the consequences of decisions and actions and how to respond to those; thinking laterally, to identify potential impacts and inter-dependencies arising from the decisions made and actions taken.
I act as a counsellor, providing clients with independent advice and an external perspective on the issues they face at all stages of the business lifecycle, including exceptional circumstances and times of crisis. Primary contact points are usually one or more of the Chief Executive Officer, the Chief Risk Officer, the Chief Compliance Officer and the General Counsel; in some cases, the Chair of the Board will be the main contact.
Press releases are not issued and no announcements are made in respect of work carried out. No submissions are sent to reviews, surveys, awards or the published guides to law firms.