REPORTS & INSPECTIONS

Oben Regulatory is highly experienced in assisting businesses anticipating a regulatory visit, and those subject to enforcement action. We are well versed in assisting businesses engage with the regulator to reach practical and pragmatic solutions. We are also appointed by regulatory bodies as reporting professionals and inspectors. Contact us if you need any assistance with the following:

  • Examination assistance
  • Remediation projects
  • Reporting professional assignments
  • Support & assistance to regulatory authorities
  • Investigations: forensic analysis
  • ObenView issue 9: Can you prevent a Civil Financial Penalty whilst working remotely?

    Can you prevent a Civil Financial Penalty whilst working remotely?

  • 07.04.2020 Law
    Company direction and insolvency in a time of virus

    Company Directors have much to consider at the moment, given the immediate impact of COVID-19 and its longer-term consequences. The effects will be felt in all types of companies, from …

  • Change in practices: continuing standards (COVID 19 and working from home)

    Covering topics of: CDD, Data Protection, Voice Recording, Short Selling and other fund matters Applicable to: each financial industry sector, investment businesses, funds and fund services businesses These unprecedented circumstances …