We help clients stay ahead of regulatory developments by identifying emerging policy, legislative, and supervisory changes and assessing their relevance and impact.

Our regulatory intelligence is tailored to our clients’ activities and risk profiles, focusing on what matters, why it matters, and how it may affect the business. This supports informed decision‑making, effective prioritisation, and reduced regulatory surprise.

Services include:

• Regulatory horizon scanning and policy tracking

• Monitoring of legislative and rule changes

• Early‑stage impact assessments

• Thematic briefings for senior management and boards

• Tailored intelligence aligned to specific activities or markets

Our approach enables clients to prioritise resources effectively, anticipate risk, and position themselves proactively in response to regulatory change.

Understanding regulatory obligations — and how they apply in practice — is fundamental to effective compliance. Complexity, overlapping regimes, and evolving expectations can make this challenging, particularly for firms operating across markets or undertaking new activities.

Orienta Advisory provides clear, proportionate regulatory and compliance advice tailored to how clients’ businesses actually operate. We help clients understand the regulatory perimeter, interpret applicable rules, and design frameworks that meet regulatory expectations without unnecessary complexity.

Our advisory services include:

• Regulatory perimeter analysis and mapping

• Licensing and authorisation support

• Compliance risk assessments, including market abuse and financial crime

• Business-wide risk assessments (BWRA)

• Risk and control self-assessments (RCSA)

• Design and review of governance arrangements

• Development and review of compliance policies and procedures

We support clients not only to comply with regulatory requirements, but to do so in a way that supports effective risk management and sound decision-making.

Regulatory advice only delivers value when it is effectively implemented. Firms are expected to demonstrate not just compliance on paper, but that regulatory requirements are embedded into day-to-day operations.

Orienta Advisory provides hands-on support to help clients implement new regulatory requirements and remediate identified issues in a practical, proportionate, and sustainable way.

We work closely with clients to design and embed processes, controls, and governance arrangements that are workable in practice and capable of standing up to regulatory scrutiny.

Our implementation and remediation support includes:

• Implementing new regulatory regimes and requirements

• Supporting regulatory change programmes

• Designing and embedding controls and monitoring arrangements

• Remediation following internal reviews, regulatory findings, or investigations

• Enhancing governance, oversight, and reporting frameworks

• Interim and embedded support where appropriate

Our focus is on delivering outcomes that endure beyond the immediate project or review.

Regulatory engagement is a critical aspect of operating in regulated markets, particularly during periods of heightened scrutiny or change. How firms engage with regulators can materially influence outcomes.

Orienta Advisory supports clients in engaging confidently and constructively with regulators, helping them navigate enquiries, reviews, and investigations in a calm and credible manner.

We bring a clear understanding of regulatory expectations and supervisory approaches, supporting clients to respond effectively while maintaining appropriate relationships with regulators.

Our regulatory engagement services include:

• Supporting responses to regulatory enquiries and information requests

• Assisting with regulatory reviews and investigations

• Preparing written submissions and communications

• Supporting remediation discussions and outcomes

• Advising on regulatory engagement and advocacy strategies

Our approach is measured, transparent, and focused on achieving proportionate and sustainable outcomes.

Effective compliance depends on more than policies and controls. It requires people to understand regulatory expectations, recognise risk in real-world situations, and exercise sound judgement.

Orienta Advisory designs and delivers tailored, in-person training that is relevant, engaging, and grounded in how regulated businesses actually operate. Our training is discussion-led and scenario-based, focusing on practical application rather than generic theory.

We work with clients to develop training that supports strong culture, clear accountability, and effective risk ownership.

Our training typically covers:

• Culture and conduct

• Market abuse and trading behaviours

• Regulatory expectations and obligations

• Roles and responsibilities of senior management

• Risk identification, escalation, and decision-making

Training is tailored to the client’s business, markets, and audience, with sessions designed to encourage discussion, challenge assumptions, and build confidence