Following an FCA Consumer Duty gap analysis, Devlin Mambo supported an investment manager in translating regulatory recommendations into a practical implementation plan.
The Outcome
A structured programme across three workstreams, with defined actions,
indicative timelines and delivery risks to support stronger governance and Board oversight.
A global investment manager needed an effective distribution governance framework across its UK and Irish fund ranges, supporting regulatory compliance, appropriate distribution and stronger oversight of third-party distributors.
The Outcome
A distribution governance policy and supporting procedures were established across UK and Irish operations, with clearer accountabilities, risk-based distributor oversight and improved reporting.
An investment management firm needed a tailored ICARA framework and wind-down plans to strengthen risk management, assess financial resources and respond effectively to adverse scenarios whilst meeting regulatory expectations.
The Outcome
Tailored ICARA and wind-down plans were established, supported by risk-to-harm assessments, financial modelling and clear governance arrangements. Live testing with senior management helped strengthen wind-down planning and ongoing risk oversight.
Following its transition from an internal dealing function to a single execution broker model, an investment manager sought independent assurance that its governance and oversight arrangements remained effective and aligned with regulatory expectations.
The Outcome
The review confirmed strong governance foundations, including transaction cost analysis monitoring and contingency planning. Targeted recommendations were identified to strengthen management information, KPI reporting and evidence of independent challenge, supporting effective oversight of execution quality and operational risk.
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Every organisation faces its own governance, regulatory and operational challenges. At Devlin Mambo, we combine independent expertise with practical solutions to help you strengthen oversight, manage risk and deliver meaningful outcomes.
Get in touch to discuss how we can support your organisation.