Independent Regulatory and Pricing Assessment

Alpha was engaged to support with an independent regulatory and pricing assessment to ensure a retail book of customers was safe and secure. Key activity included:

• Collaboration in a blended team to conduct assessments against the book of business from a regulatory and conduct, governance and pricing assessment perspective
• Facilitation of stakeholder interviews and desktop reviews against regulatory sourcebooks to identify areas of risk and actions to remediate
• Presentation of clear recommendations and a delivery roadmap for the client to ensure the customers received good customer outcomes and the book of business was safe from a regulatory perspective within a six-month timeframe

Client Outcomes

• Independent regulatory and pricing assessment
• Identification of areas of risks
• Recommendations and a delivery roadmap