Regulatory Compliance

For all organisations engaged in activities that come under the control of a regulator, PwC provides support, advice and assurance to help you manage your regulatory risks. In an ever-changing regulatory environment, we help ensure that you identify, manage and control any existing and future regulatory risks. A proactive rather than a monitoring approach to regulation is now a full-time strategic business activity.

Our team consists of experienced regulatory risk specialists, who not only know the rules but have also implemented and assessed compliance against them. Our people can help you at the strategic level by maximising any competitive advantages from regulation, through to the operational level by minimising the costs and disruptions to your business, freeing up management time in the process.

Potential issues

  • You don't know whether you comply with your regulator's rules
  • You might be spending too much on complying with regulations
  • You might be tying up too much regulatory capital in specific businesses
  • You need to plan for staff training in light of new compliance issues
  • Proposed regulations might destroy your business or lead to a loss in competitive advantage
  • You are concerned about the reputational risk from failing to comply with regulations
  • You want to confirm that your sales force is complying with the sales and marketing code of conduct.

How we can support you

  • Minimise risk of regulatory fines or enforcement action by your regulator
  • Minimise risk of personal fines or enforcement against your executives
  • Take a proactive approach to addressing regulation and its impact, as opposed to a reactive 'fire-fighting' approach
  • Maximise the competitive and strategic opportunities resulting from regulatory change
  • Reduce costs associated with regulatory compliance
  • Provide independent assurance and benchmarking of regulatory compliance
  • Share best practice recommendations and experience in regulatory reporting.