Regulators are increasingly taking a risk-based approach to supervision, directing greater attention towards firms and activities that present the highest regulatory risk. As a result, firms may be contacted for a range of reasons, from routine information requests and thematic reviews to inspections, examinations and remediation programmes.
Combining regulatory expertise with practical experience, Ocorian supports firms before, during and after regulatory interactions, helping them understand expectations, manage communications and achieve the best possible outcomes.
How does Ocorian support regulatory intervention?
Regulatory inspections and examinations
Preparation and support for regulatory inspections and examinations, including mock inspections, readiness assessments and practical guidance throughout the process.
Skilled person reviews
Support before, during and after skilled person reviews, helping firms prepare documentation, respond to findings and coordinate engagement throughout the review process.
Regulatory examination preparation
Preparation for jurisdiction-specific regulatory examinations, including:
- Securities and Exchange Commission (SEC) examinations (United States)
- Securities and Futures Commission (SFC) inspections (Hong Kong)
- Monetary Authority of Singapore (MAS) inspections (Singapore)
- Dubai Financial Services Authority (DFSA) and Financial Services Regulatory Authority (FSRA) supervisory reviews (United Arab Emirates)
Regulatory engagement
Support communicating with regulators throughout supervisory engagements, authorisations, reporting requirements and regulatory enquiries, helping firms provide clear, timely and effective responses.
Remediation support
Helping firms address regulatory findings through:
- Remediation planning
- Policy and framework enhancements
- Operational remediation
- Ongoing regulatory engagement
Our approach
Preparing your business
We work with your team to understand the regulatory engagement, assess the issues involved and develop a clear response strategy tailored to your business.
Working alongside your team
Our specialists support document preparation, regulatory communications and stakeholder management throughout the engagement, helping your team respond confidently and efficiently.
Delivering practical remediation
Where improvements are required, we develop practical remediation plans that strengthen governance, controls and regulatory compliance while remaining proportionate to your business.
Supporting ongoing regulatory relationships
Our support continues beyond the immediate engagement, helping firms embed improvements and maintain constructive relationships with regulators.
Global regulatory expertise
We support firms engaging with regulators across multiple jurisdictions, including the United Kingdom, United States, United Arab Emirates, Singapore and Hong Kong.
Our specialists regularly engage with regulators through authorisations, licensing applications, regulatory reporting and supervisory matters. This practical experience gives us valuable insight into regulatory expectations and helps us guide firms through complex regulatory interactions.
Frequently asked questions
Practical help before, during and after regulatory engagement - from information requests and thematic reviews to inspections, skilled person reviews and remediation - so firms respond clearly and achieve good outcomes.
Ocorian supports firms engaging with regulators across the United Kingdom, United States, United Arab Emirates, Singapore and Hong Kong, including the SEC, SFC, MAS and the DFSA and FSRA.
Yes. Ocorian provides readiness and mock inspections, documentation preparation, support responding to findings, and coordination of engagement throughout the review.
Let’s talk
Contact us and a member of our team will be in touch.
If you would like to speak to someone in regards to media please email: [email protected]
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