Deontea is a Regulatory Technical Specialist. It provides expert, regulator’s grade support in connection to regulatory matters and acts as an additional resource in that field. We provide Regulatory Intelligence support and Quality Assurance services to our clients by combining expert regulatory knowledge and product understanding. Our aim is to provide sound and concrete answers to not only what a specific requirement may mean, but more importantly what it means for You.
Deontea Ltd supports firms in meeting their regulatory obligations with confidence, and obtain assurance that their systems and controls are proportionate, fit for purpose while staying business friendly by providing among others:
Strategic regulatory counsel
Our industry knowledge, expertise and inner understanding of the regulatory framework allow us to provide our clients with a truly bespoke strategic counsel. Where most organisations will deliver high level, generic and standardised answers, Deontea Ltd will provide its clients with fully tailored solutions and guidance, enriched by a multi- jurisdictional approach and analysis.
Regulatory Intelligence & Analysis
We provide documented reports (e.g. impact studies, regulatory opinions), gap analysis or regulatory guidance on various subject matters taking into account business constraint and client operating models including but not limited to Conduct, Financial Crime (AML/CFT), Markets and Governance & organisational subject matters. Our in depth-expertise acquired working at Regulators, provides us with a unique hedge, allowing us to deliver government grade advice.
Regulatory projects within a specific sector of activity and/or in relation to a specific business line
We provide practical guidance, business oriented, proportionate to the firms operations in setting new business lines or expanding on existing ones. It includes defining new or amending existing operating models taking into account business constraints if any and supporting the compliance function overseeing changes and ensuring that new processes embed adequate systems and controls as well as helping firms to understand and address their regulatory risks today and in the future.
Quality assurance/Health checks covering all areas of compliance: policies and procedures, systems and controls, monitoring
We provide firms with independent audit capabilities to review their arrangements, policies and procedures to ensure that they are appropriate and meet the regulatory requirements they are subject to (e.g. thematic reviews, desk reviews, systems and controls assessments). We provide thorough diagnostics and recommendations, ensure follow up and assist during remediation phases if any.
Support with regulators on-site visit or request for information
Where a regulator announces an on-site inspection or requests information, it is always a very stressful moment for the compliance team and the managing body. Deontea Ltd team members have participated numerous times in deep-dives or desk reviews and can help alleviate the unease & apprehension, while ensuring that firms are ready to, and confident in facing supervisory and/or investigation visits; and/or help preparing the reports/dossier requested.
Seeking authorisation and/or applying for variation of permissions in EU, UK & Switzerland
Deontea Ltd offers guidance & support in submitting requests for initial authorisation or variation of existing permissions in the UK, France, Luxembourg and Switzerland. We assist our clients in negotiating with the relevant NCAs (e.g FCA, AMF, FINMA or CSSF), designing their regulatory business plans, setting up all the necessary policies and procedure and ensuring that their arrangements are sufficient and fit for purpose
The training offer available is very comprehensive but courses are often extremely academic and rarely business oriented. We offer a unique solution that collates the legal basis, explains how it applies to real-life situations, and one that is tailored for professional attendants.
We offer practical support to our clients through fully tailored solutions. We seek to provide our clients with an external expert regulatory resource readily accessible to help them navigate the rising complexity of regulations.
Please visit Our impact page to learn how we have helped our clients to achieve their objectives