Corporate governance for financial institutions
We bring governance systems into line with supervisory expectations — from a review of what exists to building the structure from scratch.
Governance review
- Assessment of the organisational structure and allocation of responsibilities - Review of the independence of risk management, compliance and internal audit - Review of internal policies against current requirements and against how the business actually operates - Review of decision records: board minutes, risk registers, delegation matrices - Report with a prioritised gap list and remediation plan
Building the system
- Organisational structure fitted to the intended business model - Composition of the board, including independent members, and of its committees - Implementation of the three lines of defence and of the key functions - Full set of internal documents: risk management by category, internal control, AML/CFT, conflicts of interest, remuneration, outsourcing, business continuity, information security, consumer protection - Reporting lines from the key functions to the board
Inspection readiness
- Documentation review ahead of an inspection - Preparation of responsible officers for engagement with the supervisory team - Support during the inspection and drafting of responses - Remediation plan for findings
Where we work
Ukraine, the EU, the United Kingdom, Asia.