Financial services regulatory practice

How PwC can help you navigate regulatory complexity

The increasingly broad range of products, services, customers, and global markets served by today's financial services firms is expanding the volume and complexity of regulatory and compliance risks facing these firms.

Additionally, in an environment where the financial, legal, and reputational consequences of non-compliance are frequently front page news, key stakeholders -- such as Boards of Directors, investors, regulators, customers, and the public in general ญญ-- are increasingly questioning the effectiveness of existing internal risk management and compliance programs.

Your need to meet the expectations of these stakeholders in today's complex business environment will require more than just the "regulator’s" perspective on compliance and risk management. It will also require innovative operational approaches that are not only effective for your current needs, but are flexible to adapt to future internal and external challenges.

PwC’s financial services (FS) regulatory practice is aligned with your needs.

• Our diverse regulatory knowledge (banking, broker/dealer, insurance, investment management) covers the range of complex regulatory challenges facing large financial services firms.
  
  
• We can draw on our global network of regulatory knowledge and practitioners to address regulatory requirements in major and regional financial centers.
  
  
• We have first-hand compliance and regulatory knowledge and experience – most of the members of our FS regulatory team have either previously worked for a financial services regulatory agency or have been a compliance professional at a major financial institution.
  
  
• Our services do not end with regulatory risk identification. We bring the full capabilities of PwC Advisory to address these risks through program and system design and/or process improvement.
  
  
• We do not sell generic products or "one-size fits all" solutions. We offer practical regulatory solutions that are tailored to each client's business.
  
  
• We are leaders in leveraging technology to lower the cost, and improve the quality, of large-scale transaction and customer-level compliance testing.
  
  
• We have a national reputation for thought leadership, as evidenced by our numerous publications in the financial press and technical journals, our invited presentations at national conferences, and our proactive outreach to various clients and friends of the firm to present our views on emerging regulatory challenges.

Our areas of focus: