What’s Happening

•  There is greater regulatory emphasis on governance and culture than ever before
•  Evidence of robust management of the firm and its providers is essential, including the outsource management requirements in the SYSC rules
•  Firms are moving away from over-reliance on the expertise of their suppliers, towards retention and application of their own expertise in managing and supervising their regulated activities
•  The use of platforms and multi-supplier relationships to provide best in class services is complicating service models and their management

How We Can Help

We can apply our deep and extensive outsourcing and operational management experience and knowledge, to help firms with all aspects of achieving success in their governance and oversight models. This includes:

•  Review of governance models and parameters to recommend pragmatic best practice structures which include three lines of defence and evidence clear responsibilities
•  Review and recommendations for the oversight of outsource suppliers, including transfer agencies, platform providers, custodians and others supporting critical functions
•  Support for the establishment and improvement of CASS governance models, including the training of staff in the CASS processes of the supplier and their relationship to CASS requirements
•  Support for the creation of meaningful and relevant management information, as required for each level of management.

For further information please get in touch via our Contact Page

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