Regulatory Healthchecks


Improve your business with a regulatory health check


Staying current with the latest regulatory changes is tough when your focus is growing your business.

Our health check serves as a mini audit of your compliance programme, helping you to understand your risk exposure and ensure compliance is maintained.

We review your policies, procedures and compliance registers, interview senior managers and directors in your organisation as well as testing the knowledge of team members across the organisation.

It all adds up to create a picture of your regulatory status. Once that’s created, we will work with you on a set of recommendations aimed at improving any weaknesses.


How we help


By undergoing our thorough assessment, you get a clearer picture of your risks; from cyber security to financial crime, market abuse to sanctions, our audit covers the entire range of risks.

We ensure policies and procedures are of good standard and fit for purpose – both to satisfy the regulators and ensure your business is efficiently run.

Our recommendations can be actioned in house with our help, while policies, manuals, checklists, etc. are constantly updated.

Having investigated and reviewed your policies and tools, we are able to map out a strategy to improve and evolve your regulatory processes.

Wherever the gaps are in your compliance process, we can work alongside you to help train your people in key areas.


Why Newgate?

A timely and well managed process

Our experience allows us to quickly complete a full assessment, deliver a report, gather feedback and work up future actions.

Detailed reports and data analysis

We know exactly what denotes a healthy compliance picture and what serves as a red flag. Our reports give a detailed and bespoke picture of your risk exposure, allowing you to develop specific remedies.

Expertise from ex-regulators

Our team is staffed by ex-regulators, a key differentiator. As we monitor, visit and challenge our clients, we are able to ask the right questions and help develop the right solutions.


Get in touch

Get in touch to find out more about our services:

United Kingdom
+44(0)20 3696 8750

+44 (0)1481 725 775