Case Studies
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Regulatory Challenge
FSA leads firms to best practice.
Having received an ARROW visit followed by tough messages on governance, an asset management firm called in OWL to manage the programme of remedial action involving many changes in key roles. Temporarily taking on the CF10 and CF11, OWL provided guidance on the approach to restore the confidence of and relations with the Regulator. The subsequent ARROW visit proved the success of OWL's work. More
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Preparing to meet FSA
Leading cultural change from the top delivers effective outcomes in business
Seeking regulatory authorisation, an insurance intermediary sought the assistance of Oliver Lodge to establish the culture and procedures required. In agreeing the objective with the client, OWL encouraged the adoption of a look-through to success in the first ARROW visit. By raising aspirations in this way, the firm focused on the bigger picture and achieved its aim successfully. More
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Key man
As the short-term post-holder, OWL facilitates essential change at fund administrator
Losing the Head of Compliance can occur at most unwelcome moments. A fund administrator with a compliance team of 30 and facing a s166 Skilled Person's Review needed to fill the post at short notice in difficult circumstances. Temporarily taking on the CF10, OWL was able to provide cover and to bring about the necessary re-organisation within the team at the same time as re-establishing a sound working relationship with FSA. More