Regulatory Outsourcing

Regulatory risk has become increasingly complex, unpredictable and distracting. So our Financial Markets Group will provide practical outsourcing solutions to financial service organisations seeking to better manage themselves, spread their risks and focus more on their revenue streams.

We’ve worked hard and used all of our collective experiences to build our department’s market-leading reputation. But we couldn’t do it without the support of the rest the firm. We have innovative structures in place so that we can call on cross-disciplinary teams, built around specific client needs, to dedicate all the resources a business needs to minimise their risk.

We offer expertise and forthright advice in the following areas: promotion support in financial promotions vetting and sales documentation vetting; sales monitoring in routine risk-based sampling of sales, EB20 or past adviser reviews and new adviser vetting; business reviews of pre-emptive and mandated reviews, expertly led and fully resourced review teams, highly qualified and experienced additional team members to supplement in-house projects; and complaints handling for efficient and rigorous complaints management processes, and fully-scaleable solutions tailored to individual requirements for any regulated product.

For further details of our service, please call or fax Ashley Carter, Chief Executive Regulatory Outsourcing, on +44 (0)20 7728 2052 or e-mail: ashley.f.carter@gtuk.com.