Skilled Person Reviews And Regulatory Investigations

Comprehensive Support: Before, During and After

We provide a seamless advisory service across the entire regulatory lifecycle, ensuring that a Skilled Person Review remains a constructive, value-add process rather than a purely punitive exercise.

• Before Intervention (Strategic Prevention): The most effective way to manage an s166 is to prevent its necessity. We deliver “Mock s166” reviews and comprehensive gap analyses to identify vulnerabilities. By aligning our assessment with our robust Internal Audit processes, we help you remediate risks before they escalate to a formal supervisory mandate.
• During Intervention (The Mandate): As an appointed Skilled Person, we produce objective, evidence-based reports that meet the rigorous standards of the FCA or PRA. We act as a principled and transparent bridge between your firm and the regulator, ensuring the review is handled with professional efficiency and accuracy.
• After Intervention (Remediation): Post-review, we assist firms in the practical implementation of necessary changes. We ensure all findings are addressed, supporting your transition from a period of intervention back to a state of self-sustaining compliance and business growth.

Practitioner-Led Expertise

Our subject matter experts bring together decades of combined experience from the financial industry, legal sectors and major regulatory bodies. By leveraging the same technical rigour that supported over 1,500 successful authorisations, we provide the insight and confidence your firm needs to navigate high-stakes investigations.