Regulation & Compliance

We help our clients stay on top of the latest regulation, ensuring mission critical programs are delivered ensuring compliance

Helping your business grow and stay compliant

Financial institutions are faced with a continuous stream of regulatory demands and new regulation.  Our expert consultants provide specific regulatory expertise, support the implementation of complex change and work in tandem with our clients to ensure compliancy.

Common Regulation & Compliance challenges

We help financial institutions overcome challenges of solution design, build and improvement to not only remain compliant with the myriad of regulations, but also enhance their business model and adapt their technology platforms. 

Are you struggling with EMIR and EMIR Re-fit requirements and implementation?

We have experts who have first hand experience of delivering EMIR. We work in partnership with Kaizen Reporting to ensure compliance.

Horizon scanning – are you struggling with understanding and managing large volumes of regulatory requirements?

We have developed a best in class solution with our technology partners, RequirementOne and Knights Analytics that automates the process from regulation to implementation, all supported by Appian workflow.

ESG Regulation – a new wave of regulation is impacting how our clients do business.

We understand the latest regulation, how it can impact your operating model, processes, data, systems and reporting.

Case Studies

Our clients have realised development improvements and transformed their timelines, speeding up their processes.


Structured data: Regulatory horizon scanner

Regulation & Compliance | Tech

Operating & controls model for cross border business

Regulation & Compliance | Banks

Market Abuse Risk (MAR) surveillance

Regulation & Compliance | Banks

Capital requirements regulatory reporting for an International Banking Corporation 

Regulation & Compliance | Banks

Learn more about the NextWave methodology

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Our Regulatory & Compliance focus areas

Our regulatory expertise includes: Transaction Reporting Regulations (MiFID/MiFIR, EMIR and EMIR Refit, SFTR, CFTC etc.), Transaction Reporting Operating Models, Operational Risk, Brexit Change, Senior Manager Certification Rules (SMCR), Risk and Control Assessments (RCSAs), Banking Licence & Entity setup rules and processes, Sustainable Finance regulations (in collaboration with our Sustainable Finance Practice) and more.


Project expertise

We work with internal client teams, and at times other vendors, providing advice for decision making processes that will be needed to enhance client platforms and team capabilities, to achieve business change, operational agility whilst being aware of financial & non-financial risks.



Transaction reporting

We have regulation expertise with helping clients report on securities trades, foreign exchange transactions, and derivatives trades, among others. This includes creating operating models as well as using RFP/RFI for independent assurance testing vendors and third party reporting solutions. 

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Programme governance

We help you create a framework of policies, procedures, and controls that are put in place to ensure effective planning, execution, and management of a programme. This is done across all delivery ways of working including waterfall, agile and bespoke​ working. Ultimately, it provides transparency, accountability, and oversight throughout the programme lifecycle.

Regulatory issue analysis

We examine and evaluate your regulatory requirements and policies to determine their impact on your organisation's operations and compliance obligations – historical, current & upcoming. This includes analysing relevant laws, regulations, and guidelines, identifying potential compliance risks and gaps, and developing strategies and recommendations to address them.

canvas, board, presentation, decrease, finance

Regulatory roadmaps

​We help you create strategic plans to ensure compliance with existing and upcoming regulatory requirements, providing a comprehensive overview of the regulatory landscape, including relevant laws, regulations, and guidelines. This roadmap outlines the steps and timelines for implementing compliance measures, such as policy and procedure development, training, and monitoring.

strategy, plan, success, increase

Risk & Control

We ​​identify, assess, and manage risks that could negatively impact your organisation's financial stability and reputation (including credit risk, market risk, operational risk and reputational risk). By creating the framework design, upgrade & implementation, we prioritise the long-term success of your organisation, help you maintain the trust of stakeholders and mitigate potential financial and reputational losses.

NextWave Regulation & Compliance Perspectives

How financial organisations can use regulatory horizon scanning to remain compliant

Regulatory horizon scanning is a process of monitoring and analysing emerging regulatory developments that could impact an organisation's operations or industry. This involves ...
David Aston
David Aston

Focus your strategy, set your plan and modernise your business

Our experts

We have multiple decades worth of project delivery experience and provide insights into current & upcoming regulations, complex analysis expertise and implementation skills. Our consultants specialise in building a fit-for-purpose ongoing regulatory delivery models, fixing historical issues, staying compliant, identifying new regulation related issues, risks and opportunities to modernise architecture and ways of working through automation and evolved data management solutions, methodologies, and processes which as a result can reduce costs and increase efficiency.

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Erik Rowbotham
Practice Lead (NL)
Graeme Graas
Principle Consultant (NL)

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