Case Study
UK regulatory engagement and oversight
Client
Global Corporate and Investment Bank
Project Duration
8 Months
We provided consultation services to senior management at the UK territory level to project manage and deliver regulatory compliance and assurance on current projects driven by UK regulations and inquiries from the UK regulators (FCA/PRA/BoE).
We were hired to
- Define the scope of regulatory responses
- Deliver compliance
- Drive stakeholder buy-in
- Manage dialogue with the UK regulators on various topics
- Provide assurance over the governance and control frameworks
Our approach and client benefit
Our service included defining the scope of regulatory responses and delivering compliance to the fast-paced change in UK regulatory landscape which impacted the Banks’s operations in the UK including but not limited to IBOR transition, regulatory inquiries regarding banking authorisation, Brexit and Covid-19 impacts.
Our output of our delivery involved driving senior stakeholder buy-in to regulatory compliance and change, managing the dialogue with UK regulators through close collaboration with the business and function heads on any regulatory inquiries and preparing presentations and submissions both for internal consumption (i.e. senior management, heads of business) and for external bodies (i.e. UK regulators) on the status of the regulatory readiness and reg-driven change. We also provided assurance over the governance and control frameworks, including executive committee arrangements and agendas, to better align governance and control standards to regulatory expectations.
Case Study
ESG due diligence
Client
Global Asset Manager
Project Duration
5 years
The client was a leading private equity fund investing in climate change technologies looking for an ESG advisor with technical expertise and market experience.
We were hired to
- Conduct pre-investment ESG due diligences
- Evaluate the impact of ESG aspects on the targeted companies’ valuation
- Develop tailored KPIs taking into account sector specificities
- Produce ESG reporting
- Provide ongoing market intelligence
Our approach and client benefit
We deployed our internal Sustainability Framework to assess all relevant aspects of ESG that apply to the targeted company and the sector/subsector it operated in. We quickly identified areas for improvement to conduct in-depth technical analysis and benchmarks where relevant.
After the completion of the ESG due diligence, we developed a bespoke methodology to define each KPIs. Our methodology took into consideration the growth cycle of the targeted company, subsector specificities, and a projection of the technological environment in a specific time horizon.
Our client gained an effective and complete proposal to support internal investment decisions and a bespoke methodology to monitor the performance of its portfolio over time. Our impact was to offer adequate ESG capabilities which allowed the client to also communicate effectively within its ecosystem.
Case Study
Mortgage Application
Client
Global Bank
Project Duration
6 Months
The bank was looking to streamline its mortgage application process.
Our automation expert was hired to
- Enhanced the Customer experience and time to process
- Redeploy resource overheads back to the business lines
- Achieve compliance demand and standards
Our approach and client benefit
The automation solution deployed involved implementing a smart-form PDF application at all the branch offices. The smart PDF form was designed to output data in XML format to facilitate and accelerate its interpretation by the automated process. Additionally, each form contained a unique verification seal within a QR-code to ensure that the form filled in by the customer was the same form that was being processed in the back-office. The QR-codes would then be securely decoded and verified by the automated solution before any other data was processed. Mismatches found would then be sent back via secured email detailing the error to the originating branch manager for resolution. The XML data from the verified form was then matched against the correlating field in the internal systems and entered automatically. An image of the client signature would be contained within the form also, which got imported into the system as well.
As a result, the improvements made through the development and implementation of the smart-form PDF application allowed the bank to replace over 90% of paper forms.
Neofin Advisory 