Recovery and Resolution Planning 

Recovery and Resolution Planning 

Here is the fully updated Recovery and Resolution Planning subsection, aligned with the tone, structure and global positioning of the other revised sections. It blends EU/UK expectations, removes rulebookspecific references, and positions the service as a core prudential capability. 

Recovery and Resolution Planning 

Supervisors across the EU, UK and global markets increasingly expect firms to demonstrate credible recovery capabilities and, where applicable, proportionate resolution planning. These frameworks ensure that firms can respond effectively to severe stress events, protect clients and maintain market stability—even under extreme conditions. A welldesigned recovery and resolution framework is not only a regulatory requirement; it is a strategic safeguard that strengthens operational resilience and enhances supervisory confidence. 

Our Recovery and Resolution Planning services help firms develop practical, proportionate and regulatoraligned plans that reflect their business model, risk profile and operational structure. We ensure that these plans are actionable in realworld scenarios, not just theoretical documents. 

Strengthening Recovery Capabilities 

A credible recovery plan demonstrates how a firm would restore its financial position following a period of severe stress. We support firms in developing recovery frameworks that include: 

• Identification and assessment of recovery options — Evaluating a range of strategic, operational and financial actions that can be deployed to restore viability under stress. 

• Recovery indicators and triggers — Designing earlywarning indicators that provide timely visibility into emerging risks and deterioration. 

• Scenario analysis and impact assessment — Testing recovery options against severe but plausible scenarios to assess feasibility, timing and effectiveness. 

• Governance and escalation processes — Establishing clear decisionmaking structures, responsibilities and escalation pathways to ensure swift and coordinated action. 

Proportionate Resolution Planning 

Where applicable, firms must demonstrate that they can exit the market in an orderly manner without causing harm to clients or financial stability. We help firms develop resolutionaligned frameworks that include: 

• Resolution strategy development — Designing proportionate strategies that reflect the firm’s size, complexity and regulatory classification. 

• Operational playbooks — Creating practical, stepbystep guides that outline how key functions would be maintained or wound down during a resolution event. 

• Continuity of critical services — Assessing dependencies, outsourcing arrangements and operational resilience to ensure continuity where required. 

• Data and information readiness — Ensuring firms can provide regulators with timely, accurate information during a resolution or crisis event. 

Integrated WindDown Planning 

Winddown planning is a core component of both recovery and resolution frameworks. We support firms in developing credible, costed and regulatoraligned winddown plans that include: 

• Winddown scenario design and assumptions 

• Cost estimation and resource planning 

• Client asset and client money considerations 

• Operational steps and timelines 

• Governance and oversight arrangements 

These plans demonstrate that the firm can exit the market in an orderly manner while protecting clients and maintaining regulatory compliance. 

Why Firms Choose Our Expertise 

Our specialists bring experience from supervisory authorities, investment firms, fund managers and financial institutions. We understand the practical challenges firms face when designing recovery and resolution frameworks and ensure that every plan is: 

• Proportionate to the firm’s size, complexity and risk profile 

• Operationally realistic, with clear actions and responsibilities 

• Aligned with supervisory expectations across different regimes 

• Integrated with the firm’s broader risk, capital and liquidity frameworks 

This approach ensures that your recovery and resolution planning becomes a meaningful component of your resilience strategy, not a standalone compliance exercise.