Meeting regulatory compliance shouldn’t be so challenging
A risk-based compliance monitoring methodology can greatly enhance the governance framework around your products and processes.
Huntswood will deliver just that.
Having products and processes independently monitored, with any excess risk flagged early, is key to identifying and swiftly addressing potential customer detriment. The insight produced determines where your processes can be simplified and made more efficient, saving cost and time as well as increasing competitiveness.
Our team of ex-regulators and subject matter experts ensure your firm meets industry best practice and the expectations of your regulator, putting you on the right track towards continuing compliance and good customer outcomes.
What we deliver
Regulatory risk assessment
Annual compliance monitoring plan
Document reviews, interviews and file testing
Development of governance arrangements
Related Content
Target Operating Model
Mitigating risk and delivering good customer outcomes
New Business Checking
Gain assurance and operational peace of mind from the outset
Policy, Process and Procedures
Getting the ‘nuts-and-bolts’ right will set your firm up for success
Skilled Person Review (S.166)
Get fully prepared for the review process and any resulting action
Latest Insights
Complaints Calculator
Understand the true costs and opportunities within complaint handling.
Consumer Duty
Consumer Duty In 2025
Consumer duty continues to challenge firms. The market has shifted significantly since the inception of the duty in 2023; but there are still areas which the FCA has commented on as needing improvement.
Vulnerable customers
FCA issues new guidance to support bereaved customers
The FCA's new guidance helps financial firms support bereaved customers with empathy and fairness. Key points include empathetic processes, staff training, reasonable adjustments, and robust oversight. Firms should review and enhance their policies to align with these expectations and build trust.
Complaints
The Current State of FOS Complaints – Q2, FY 2024 / 2025
Welcome to the second edition of our regular view of the FOS complaints landscape, as we assess the current trends and what insight firms can glean from the latest figures.
SIGN UP FOR REGULAR INSIGHT
Keeping up-to-date with the latest industry topics and regulatory issues can be quite time-consuming!
Thankfully, our regulatory experts are here to help you stay on top of it all. Fill in the short form below to receive a monthly round-up of our insight, news and analysis.