Equilibrium Green is a regulatory consultancy providing specialist technical advice in the areas of Operations, Risk and Compliance with particular focus on Client Assets. The company was created to service a growing need for specific, targeted, regulatory advice on how to apply regulations within operational teams, allowing for senior management comfort and oversight. Equilibrium Green will work with you and your business to identify key areas of concern and to provide recommendations on how best to structure your arrangements for maximum operational efficiency and compliance, while keeping in mind that the solutions must be practical.
Key projects to date include:
- Board level review of CASS arrangements including detailed flow analysis and implementation advice
- Banking Exemption Review
- Implementing changes to the basis of client money calculations
- Creation of the full suite of policies and procedures to demonstrate effective control and governance
- Oversight and challenge of both external and internal audit findings, including project managing Firm responses
- Reviewing TTCA agreements
- Reviewing agent banking and custodian network documentation
- Advising on the practical application of the DvP exemption and participant structure of commercial settlement systems
- Full end to end CASS reviews
- Advice on the structuring of governance frameworks to monitor and oversee third party service providers
