Regulatory Change Delivery
Regulatory change arrives as legal text, but it has to become ownership, controls, data, reporting and evidence inside the business.
Risk & Compliance
Regulatory Remediation & Independent Review
A finding is closed when the regulator agrees it is closed.
Overview
Formal regulatory findings are closed properly when the failed control is redesigned, tested against the original issue and evidenced to the standard an independent reviewer can verify. Surface remediation tends to reopen. Root-cause remediation stays closed.
Capmark helps boards, CROs and compliance leaders respond to enforceable undertakings, skilled-person reviews, supervisory findings, consent orders and monitor-led remediation. We assess root cause, redesign and test the controls, build the evidence pack and report progress against the regulator’s timetable.
Where the proposed remediation is not enough, we say so and explain why. Our people have led remediation under APRA, ASIC, FCA and PRA supervision, with findings closed inside regulatory windows.
What we do
We structure remediation around the instrument itself: obligations, milestones, owners, dependencies, reporting dates and closure evidence. The programme is managed so the board and reviewer can see real progress against the required standard.
We manage the working relationship with the skilled person, independent expert or monitor. Scope is agreed precisely, evidence is organised before it is requested, and issues are raised early with a clear rationale.
We assess both the proximate cause and the systemic cause: the control that failed, and why the wider framework did not catch it. Remediation is designed against the original failure mode, not just the symptom.
We support firms from the first supervisory letter through response planning, mobilisation and remediation. Clear gaps are addressed early, so the review can evidence work already in progress.
We build closure evidence as delivery proceeds: design rationale, test results, operating evidence, approvals and sign-offs. The board attests to documented fact, not a pack assembled at the end.
What to expect
A Senior Practitioner leads from day one. The first weeks review each open obligation against the instrument, confirm root cause and establish the evidence standard the reviewer will apply.
We then own delivery through tranches mapped to regulatory dates, with closure evidence built as the work progresses and board reporting that reflects actual delivery status.
Engagements are structured around regulatory response deadlines and closure milestones.
Capmark does not provide legal advice. We work alongside legal and compliance teams to rebuild controls, test remediation and evidence closure.
Mandates are structured in tranches aligned to regulatory response deadlines. We are not lawyers and we don't give legal advice — we rebuild the control, test it and evidence closure to the monitor's standard.
01
Assess
Establish the current state, the constraints, the risks and the value at stake.
02
Define
Shape the target model and the business case with the executives who own the outcome.
03
Mobilise
Stand up the team, the plan and the governance around the outcome.
04
Implement
Design, build and test the change, with the business alongside.
05
Sustain
Cutover, hypercare and handover, so the business runs it under its own control.
The same five stages on every engagement, led by senior practitioners end to end. How we work
Client result
Proven in the work, not the pitch.
Capital Markets · Surveillance
Trade surveillance rebuilt across ETD and OTC flow for a global investment bank
A Leading Global Investment Bank · Trade Surveillance
We helped take market-abuse surveillance from risk assessment and vendor selection through to live platforms across exchange-traded and OTC flow, aligned to market-abuse and market-integrity obligations, with tuning to reduce false positives.
- ETD + OTC
- Flow brought under surveillance
- RFI to live
- Selection through production delivery
- MAR · ASIC
- Obligations aligned
- Multi-year
- Surveillance roadmap defined
Read the case study
Insights
Related thinking.
Get in touch
Talk to a Partner about Regulatory Remediation & Independent Review.
Tell us what needs to change and where the pressure or risk is showing.