Financial RegulationRegulation
UK & EU Regulatory Compliance
Securing and maintaining an enduring competence and conformity in the financial services industry can be an exercise in avoiding a minefield of continuously evolving and global regulations and standards. It is a balancing act between compliance costs, regulatory expectations and strategic objectives. Having clear and feasible methods for the board and senior management to identify what compliance looks like and how to achieve it in practice, in the midst of serving their fiduciary duties and those of regulators is critical.
Our team of ex-regulators and industry experts helps you:
- Stay Ahead of Change: Anticipate the impact of new rules and proactively adjust your business.
- Optimize Resources: Implement compliance efficiently, freeing up capital and liquidity.
- Navigate Authorization: Guide new market entrants seamlessly through the regulatory approval process.
- Harness Technology: Leverage automation to enhance compliance and reduce costs.
Bank Treasury Evolved: Supporting Business Strategy and Regulatory Demands
Treasury functions play a critical role in balancing business, capital, and regulatory needs. We empower Treasurers to:
- Align with Business Goals: Ensure Treasury strategies support revenue generation.
- Satisfy Regulatory Scrutiny: Demonstrate robust risk management and compliance practices.
- Drive Efficiency: Optimize capital allocation and liquidity management.
Our Expertise, Your Advantage
We combine regulatory insight with deep industry knowledge. Our team understands the practical challenges you face. Let us help you with:
- Ongoing Compliance: Stay on track with complex prudential and conduct rules.
- Supervisory Reviews: Prepare confidently for regulator interactions.
- Transformative Projects: Design and execute regulatory change programs.
- Structuring & Transactions: Ensure deals meet regulatory approval and optimize outcomes.
- Planning for the Unexpected: Develop robust recovery and resolution plans.
- Securitization Success: Navigate rules, perform due diligence, and optimize structures.
Why T3 for Financial Regulation?
T3’s Financial & Non Financial Risk Management practice is led by a former CRO of a top-tier global bank. The team brings deep, hands-on experience across the full spectrum of financial risk, from regulatory strategy to model implementation and board-level governance.
- End-to-end risk management delivery across complex, highly regulated environments:
- Enterprise-wide risk framework design, implementation, and remediation
- Market risk, credit risk, counterparty risk, and liquidity risk program delivery
- Risk model development, validation, and governance (IRB, IMA, SA, FRTB)
- Risk data aggregation, reporting architecture, and BCBS 239 compliance
- Stress testing and scenario analysis programs (CCAR, DFAST, PRA, EBA)
- Deep regulatory expertise spanning Basel III/3.1, FRTB, IFRS 9, MiFID II, EMIR, CRD VI, Dodd-Frank, Volcker Rule, and SA-CCR
- Board and C-suite risk advisory, translating complex regulatory and quantitative risk topics into actionable strategy for senior leadership and board risk committees
- Backed by T3’s AI regulatory expertise (EU AI Act, ISO/IEC 42001, NIST AI RMF, OECD AI Principles) and AI implementation practice, enabling responsible adoption of AI/ML in risk models, decisioning, and surveillance
We don’t just manage risk, we make it a competitive advantage.
