Regulatory Reviews

Unplanned regulatory intervention or inquiry can really stretch a business and sometimes a helping hand or fresh set of eyes can help you effectively manage through the process. Whether you are responding to regulators, litigation lawyers, or disgruntled shareholders, or dealing with Enforceable Undertakings, Class Actions, a Regulatory ‘Requirements’ Letter, or a government-initiated inquiry, additional skilled resources can be critical to the quality of your outcome.

How we can help

Our team have deep practical experience setting up, managing and transforming regulatory compliance regimes and the role they play in supporting an organisation’s ‘ticket to play’.  These same skills and experiences are invaluable when responding to unplanned regulatory or government intervention or inquiry where time is of the essence and there is no time for learning curves or familiarisation.

Whether the review is industry-wide or targeting you alone, we have the breadth and depth to quickly resource your needs and provide meaningful, intelligent thinking around the response/engagement strategy and approach.

Whether it be ASIC, APRA, ACCC, AUSTRAC, or any other regulator or Statutory Authority, our proven experience combined with effective methodologies, tools and techniques, means we can work quickly with your existing resources to provide an optimal response that doesn’t grind the business to a halt.

Key areas of focus

Our team can help you:

• Prepare for and lead/coordinate the response to ensure your business remains focused
• Use existing regulatory protocols, standards and advisories to ensure responses are fully aligned and reflect regulator expectations
• Cost-effectively manage the documentary/evidence based demands of such reviews (using dedicated document management system and tools we can provide, if needed)
• Provide board/executive level insights to progress/risks/issues as they evolve during a review
• Provide effective challenge, where necessary, to your internal teams and datasets to ensure a validated, verifiable and defensible outcome you can stand behind
• Provide a level of independence and confidence in the eventual outcome
• Leverage our broad experience to optimise the brand and reputation impacts of the process

Get actionable and meaningful insights

Whichever service or support we deliver, we will provide you with a report that presents a meaningful view of your organisation’s regulatory posture and the measures required to safeguard your business. The report includes:

• Actionable insights based on our engagement and industry expertise
• Where relevant, benchmarking data to call out leading or lagging behaviours
• Overall risk rating, based on our self-assessment of your regulatory risk