SERVICES
Regulatory change, training and governance
Support for investment and asset management firms navigating regulatory change, updating governance arrangements and helping teams understand their compliance responsibilities.
Turning regulatory change into practical business action
Regulatory change rarely affects one document or process in isolation. New rules, guidance and supervisory expectations can have implications for governance, policies, controls, training, reporting and the way decisions are made.
Catapalt helps firms assess relevant regulatory developments, decide what needs to change and translate those changes into practical updates that can be understood, implemented and evidenced.
WHAT WE SUPPORT
Practical support for change, governance and training
Regulatory change needs to be understood, prioritised and embedded into the way the firm operates. Catapalt helps firms assess what has changed, update relevant arrangements and communicate responsibilities clearly.
Regulatory change assessment
Reviewing relevant regulatory developments and helping firms assess what they mean for the business, its clients, activities, controls and governance arrangements.
Policy and procedure updates
Updating compliance documentation so it reflects new requirements, supervisory expectations and the firm’s current operating model.
Governance arrangements
Helping firms adjust responsibilities, reporting lines, committee materials, decision records and oversight arrangements where regulatory change affects governance.
Training and awareness
Developing practical training and communications to help staff understand what has changed and how it affects their responsibilities.
Implementation planning
Turning regulatory developments into clear actions, owners, timelines and evidence so changes can be implemented and tracked.
Board and senior management support
Supporting senior management with briefing materials, regulatory impact summaries and practical recommendations for oversight and decision-making.
JURISDICTION COVERAGE
Change and governance support across UK and US frameworks
Catapalt supports investment and asset management firms with regulatory change, training and governance work across UK and US frameworks, helping firms understand what has changed and translate it into practical action.
United Kingdom
For firms operating under the UK regulatory framework, support may include assessing FCA developments, updating policies and procedures, preparing governance materials, refreshing training and helping senior management evidence oversight.
- FCA regulatory change assessment
- Policy and procedure updates
- Governance and committee materials
- Training and awareness support
- Senior management oversight records
United States
For firms operating under US regulatory frameworks, support may include assessing SEC, CFTC or NFA developments, updating compliance programme materials, refreshing training, governance support and implementation planning.
- SEC, CFTC and NFA change assessment
- Compliance programme updates
- Training and awareness support
- Governance and oversight materials
- Implementation planning and evidence
HOW CATAPALT WORKS
From regulatory development to practical implementation
Regulatory change is most useful when it is translated into clear decisions, updated arrangements and practical staff understanding. Catapalt helps firms move from analysis to implementation in a structured and evidenced way.
01
Assess what has changed
We review the relevant regulatory development and assess how it may affect the firm’s activities, clients, governance, policies, controls and reporting arrangements.
02
Define the response
We help identify what needs to be updated, who needs to be involved and how the change should be communicated, approved and evidenced.
03
Embed and evidence the change
We support implementation through updated materials, training, governance records and action tracking so the firm can demonstrate how the change has been addressed.
COMMON TRIGGERS
When firms typically need change, training or governance support
Firms usually seek support when regulatory developments need to be assessed, governance arrangements need updating, or staff need clearer guidance on what has changed and what they are expected to do.
- A new rule, consultation, guidance or supervisory priority may affect the firm
- Policies and procedures need updating to reflect regulatory change
- Senior management needs a clearer view of regulatory impact
- Governance materials or committee packs need refreshing
- Staff need training on new or updated compliance responsibilities
- Implementation actions need ownership, sequencing and evidence
- The firm is expanding into new activities, products or client types
- Board, investor or regulator expectations have changed
Need help turning regulatory change into practical action?
Tell us what has changed, what parts of the business may be affected and what support you need. We will help you assess the impact, update relevant arrangements and evidence the steps taken.