Financial & Regulatory

Prospect Advisory provides UK and international financial companies, regulators and other institutions with advice and assistance on risk management and other regulatory issues affecting the financial sector. This service covers:

  • Implementation of internal compliance, audit and regulatory frameworks to facilitate interactions with US, UK and EU companies and institutions
  • Design of risk management frameworks for control and management of market, and credit/counterparty risks and calculation of capital requirements, covering equities, commodities, and fixed income products
  • Advice on operational risks as a result of inadequate internal processes , systems and training programmes, and external events, such as legal and reputational risks, fraud, security and infrastructure weaknesses.
  • Due diligence and advice on KYC issues relating to government departments, contracts, tender opportunities and potential JV partners
  • Advice on compliance with US, UK and EU sanctions regimes
  • Advice on international, US, UK and EU laws and regulations relating to the prevention of bribery and corruption, money laundering, trading standards, environmental protection, and compliance with health and safety regimes
  • Advice on financial investigations and prosecutions brought by financial regulators including, in the UK, by the Financial Conduct Authority, HMRC and the Serious Fraud Office, in the US, by the Securities and Exchange Commission, and in Hong Kong by the Commercial Crime Bureau of the Hong Kong Police, the Independent Commission Against Corruption, and the Securities and Futures Commission.

Prospect has partnership agreements with regional focused law firms in the Middle and Far East.

Briefing Note on Financial & Regulatory Work