Assistance with Regulatory Interactions

Assistance with Regulatory Interactions

C&G Regulatory Solutions has extensive experience of interacting with regulatory authorities in a wide variety of contexts. Your firm may have received notification of a prospective visit or other enquiry from a regulator. Alternatively, your firm may be seeking to make various notifications or submissions to the regulator on its own initiative. In both situations we can help. Typical support we can provide includes:

  • How to prepare for a visit:
    • Managing documentation requests and briefing
  • Dos and don’ts during a visit:
    • Understanding the ‘floor walk’ test
  • How to respond to feedback received from a visit:
    • How to engage constructively with feedback received to try and build trust with the regulator
  • Preparing and reviewing routine and non-routine notifications:
    • For example Principal 11 submissions, appointed representative appointments, variation of permission applications, applications for, and cancellations of, permissions

Please note that C&G Regulatory Solutions does not supply legal services as defined in the Legal Services Act 2007 and associated regulations and guidance thereto. Accordingly, any advice or guidance given does not constitute legal advice. However, C&G Regulatory Solutions may be able to refer clients to legal service professionals for any legal queries that they may have.

Contact Us

Please contact us for a free, no-obligation, one hour initial consultation to discuss your requirements.