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The Future for Compliance – Best Practice and Delivering Value

PricewaterhouseCoopers Financial Services Regulatory Practice

PricewaterhouseCoopers is the leading provider of regulatory advisory services in the financial services sector. Our international network, comprising offices in 150 countries, enables us to offer a truly global regulatory advisory service.

Our dedicated Financial Services Regulatory Practice has been offering pro-active regulatory advice to regulated firms and other financial institutions around the world for over a decade.

Our practice, comprising over 500 specialists worldwide, has extensive experience of regulatory rules, codes of conduct and prudential supervision. The teams blend the experience of former senior regulators and Compliance Managers with assurance skills. This depth of expertise means that we are well placed to:

  • Explain how detailed regulatory requirements need to be applied;

  • Advise regulatory agencies on ways of enhancing their regulatory and supervisory regimes, including assisting in investigative and enforcement actions;

  • Assist in the implementation of new requirements such as responsibilities for senior management;

  • Work with management to establish or review the effectiveness of Compliance policies, structures, controls and processes to manage the risks better for the business, including advising on the use of technology to maximise the effectiveness of monitoring and to minimise costs; and

  • Advise on how to manage regulators’ expectations properly and

build relationships based on mutual trust.

PricewaterhouseCoopers

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