Risk management
& compliance

Our team focuses on more than just “firefighting”. Our risk management and compliance frameworks identify structural issues and produce frameworks that ultimately enhance our client’s competitiveness by focusing on integrity and resilience through a series of governance frameworks. 

Our experienced team will help you with:

Compliance management

Operational risk management

Autopilot off governance

A governance data-driven approach allows technology enabled transformations to take place which drive meaningful results whilst placing culture, people and compliance at the centre of operations

A series of frameworks that act as guardrails to reduce the possibility of regulatory sanctions and partner with business functions to drive profitability. Governance models focus on loss-event reporting, risk controlled self assessments and operational risk modelling

A series of governance frameworks that remove “autopilot” risk management, ensuring that your business is on the front foot by a series of fluid checks and balances, anchored by the “three lines of defence” model. Our team not only helps you create the framework, but is with you step by step in the implementation process too.

Featured Insights

The risk & governance interplay

Internal auditors can assess and strengthen governance by understanding the organisation’s governance framework, defining the scope of audits, engaging stakeholders, and collecting data. They are well-placed to evaluate risks and controls and offer feedback on areas of weakness. From my experience, in many organisations internal auditors have not yet grasped how to assess governance but it is fundamental that they do and that periodic reviews are carried out to ensure the ongoing effectiveness of governance practices.

As a seasoned investor, you understand it is essential to understand the nature of the business in which you invest but have you ever considered the liquidity of your shares and whether you’re doing enough to safeguard the long-term success of the company. This is especially important when investing in UK AIM-listed companies, as they may present different risks and opportunities than other types of investment.

Accounts as a Constant

A board should ensure that there is a robust process of verification in place prior to the release of information. This will ensure that appropriate managers and directors have reviewed the information and have confirmed it as correct, complete and reasonable prior to release.

This overview is not intended to be exhaustive and provides a summary of what a company may expect when choosing an Initial Public Offering (IPO), as a means to raise capital and embarking upon the process of seeking admission to AIM.

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