Rosenblatt Law
Regulatory Risk Consulting and Investigations
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9 
Regulatory change  
and advisory
We help organisations anticipate and respond to new regulation and  
changes in supervisory expectations. Our work spans horizon scanning and 
impact assessment through to programme design, implementation, assurance 
and regulatory engagement.
We have led major domestic and international programmes affecting  
governance, conduct, products, customers, systems and controls. We also help 
organisations simplify regulatory frameworks that have become unnecessarily 
complex, while retaining the evidence needed to demonstrate that risks remain 
properly controlled.
Our experience includes:
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	Regulatory strategy and horizon scanning
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	Regulatory impact assessments
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	Governance and individual accountability
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	Conduct and customer-outcome programmes
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	Regulatory operating-model design
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	Control rationalisation and regulatory simplification
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	Implementation and remediation programmes
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	Independent assurance and regulatory attestations
Investigations and  
financial crime
We advise organisations facing allegations of misconduct, suspected financial 
crime, significant control failures and regulatory scrutiny. We conduct  
investigations, establish the relevant facts and help clients understand and 
respond to the resulting legal, regulatory and reputational consequences.
Our work ranges from focused investigations into particular events or  
individuals to extensive reviews involving multiple jurisdictions, business areas 
and data sources. Where an investigation identifies wider weaknesses, we  
support clients in designing and implementing proportionate remediation.
Our experience includes:
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	Banking, investment, wealth-management, payments, insurance and
	
	crypto asset authorisations
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	Regulatory business plans and operating models
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	Changes in control and regulatory transaction support
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	Variations of permission
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	Senior-manager and individual approvals
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	Regulatory due diligence
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	Authorisation readiness and mock regulatory interviews
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	Regulatory engagement throughout the application process.

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