Coordinate communications
Establish a clear process for incoming queries, internal ownership and timely responses.
06 / Regulatory Point of Contact
A designated point of contact for financial regulators
A designated point of contact to coordinate financial-regulator communications, notifications and periodic reporting.
Request a Consultation ↗Regulatory Point of Contact
A practical,
considered approach.
Organise recurring obligations
Support the coordination of notifications, reporting calendars and supporting information within the agreed scope.
Maintain continuity
Keep communications and follow-up actions organised as your business develops. The regulated entity retains responsibility for its obligations.
Understanding the service
Organised notifications, queries and reporting
A consistent contact process helps connect incoming regulator communications with the people and records needed to respond. The service coordinates notifications, queries and periodic reporting within the mandate agreed with the business.
Define responsibilities from the outset
Identify the regulated entity, authority, reporting calendar and internal decision-makers. Agree which communications are in scope and who reviews, approves and submits responses.
Does appointing a contact transfer regulatory responsibility?
No. The regulated entity retains responsibility for its obligations. A point-of-contact arrangement supports coordination within the agreed scope; it does not replace management accountability.
Scope shaped around your circumstances
Jurisdiction, business activities and applicable professional requirements determine the support available. Deliverables, responsibilities and fees are confirmed in an engagement agreement. No regulatory approval or specific outcome is guaranteed.
Connected expertise
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