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Regulatory Practice

Financial services is one of the most heavily regulated industries in the world. Avantage Reply’s Regulatory Practice assists firms in understanding, implementing, and managing regulatory risk and requirements.

In the aftermath of the financial crisis, regulators are now under increasing pressure to ensure a safe and stable financial system. As a result, firms have to contend with both a plethora of new regulations and a significant increase in the intensity of supervision. Understanding and taking control of regulatory challenges is a critical activity for firms; not only to avoid the negative consequences of non-compliance but also to allow them to get key decisions right, to change and shape their businesses to adapt and to achieve their commercial and strategic goals.

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We maintain a regular dialogue with local and European regulators to provide a cutting edge insight into current regulatory initiatives, changes and challenges. This enables us to help firms manage regulatory driven change across their business and also to understand the impact of regulation on new or changing business areas. We also help firms to ensure they are discharging their current regulatory obligations and to address any gaps identified. Finally, we have extensive experience in dealing with national and international regulators and frequently help firms to manage their routine and ad-hoc interactions with them.

Prudential Requirements

Examples of our areas of expertise include:

  • Basel III / Capital Requirements Directive & Regulation IV (CRD IV)
  • Bank Recovery & Resolution Directive (BRRD)
  • Common & Financial Reporting (COREP / FINREP)
  • Comprehensive Assessment (Asset Quality Review, Stress Testing, Supervisory Review)
  • European Markets & Infrastructure Directive (EMIR)
  • Fundamental Review of the Trading Book
  • Risk Data Aggregation & Reporting
  • Single European Payments Area (SEPA)
  • Solvency 2

To find our more, please contact

Conduct Requirements

Examples of our areas of expertise include:

  • Alternative Investments Funds Directive (AIFMD);
  • Indices used as benchmarks in financial instruments and financial contracts Regulation
  • Conduct Risk
  • Consumer Credit Regulation
  • Dodd-Frank Act (including Volcker rule)
  • Market Abuse Directive (MAD)
  • Markets In Financial Instruments Directive & Regulation 2 (MIFID/MIFIR 2)
  • Packaged Retail Investment Products (PRIPS)
  • Undertaking for Collective Investments in Transferable Securities V (UCITS V)

To find out more, please contact