Case Studies

  • Regulatory Challenge

    Regulatory Challenge

    FCA leads firms to best practice.

    Having received a supervisory 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 supervisory visit proved the success of OWL's work. More

  • Expert witness

    Preparing to meet FSA

    Expertise and experience provide credibility to parties in Court

    Defending itself from expensive allegations of regulatory short-comings, an FCA-regulated investment manager needed a credible witness to comment on detailed evidence before the Court. OWL provided views on matters large and small, determining whether comments, actions, allegations met the regulatory obligation. Fulfilling the mandatory impartial role of adviser to the Court, expediting resolution. More

  • Key man

    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 the Regulator. More