Consultancy & Skilled Persons Framework 3

79411000

General management consultancy services

79221000

Tax consultancy services

79410000

Business and management consultancy services

66519310

Insurance consultancy services

66171000

Financial consultancy services

72224000

Project management consultancy services

72221000

Business analysis consultancy services

79412000

Financial management consultancy services

Lot A: Client Assets and Safeguarding Advice, skills and technical expertise in some or all of client assets, safeguarding, stablecoin issuance, and cryptoasset custody. This will include skills, experience and expertise in areas such as, but not limited to: • Client Assets (CASS) and SUP 16 in the appropriate regulator’s Handbook, including governance, regu...

Delivery: UK · United Kingdom

Lot B: Governance, Accountability and Culture Advice, skills and technical expertise in assessing for regulated firms (or designated Critical Third Parties): • appropriateness and effectiveness of firm governance arrangements and frameworks • leadership and individual accountability, including the Senior Managers and Certification Regime (SM&CR) • organisati...

Delivery: UK · United Kingdom

Lot C: Controls and Risk Management Frameworks Advice, skills and technical expertise in assessing for regulated firms (or designated Critical Third Parties) whether: • they have effective controls and risk management arrangements in relation to (i) identifying, escalating, monitoring and management of risks, (ii) taking a risk-based approach to deliver fair...

Delivery: UK · United Kingdom

Lot D: Conduct of Business Advice, skills and technical expertise in assessing application of relevant conduct of business rules and requirements (and other considerations), and adherence to the Consumer Duty; and wholesale market conduct. This should include, but not be limited to, knowledge of relevant regulatory requirements, standards, guidelines and ind...

Delivery: UK · United Kingdom

Lot E: Financial Crime Advice, skills and technical expertise in assessing financial crime systems and controls (money laundering, anti-bribery and corruption, sanctions, terrorist financing, proliferation financing and fraud) and the effective governance of these areas. This should include, but not be limited to, knowledge of relevant regulatory requirement...

Delivery: UK · United Kingdom

Lot F: Market Abuse Advice, skills and technical expertise in relation to market abuse and market abuse surveillance (including insider dealing and market manipulation) and the effective governance of these areas. This will include skills, experience and expertise in assessing the adequacy of firms’ systems and controls, and the investigation of areas includ...

Delivery: UK · United Kingdom

Lot G: Prudential – Deposit Takers, Recognised Clearing Houses, Central Securities Depositories and PRA-Designated Investment Firms Advice, skills and technical expertise in assessing whether firms have effective prudential arrangements and how these support safety and soundness and/or financial and operational resilience. This should include, but not be lim...

Delivery: UK · United Kingdom

Lot H: Prudential – Insurance Advice, skills and technical expertise in assessing whether firms have effective prudential arrangements and how these support safety and soundness and/or policyholder protection. This should include, but not be limited to, knowledge of relevant national and international regulatory requirements, standards, guidelines and indust...

Delivery: UK · United Kingdom

Lot I: Prudential - Adequate Financial Resources for FCA Solo-Regulated Firms Advice, skills and technical expertise in evaluating whether solo-regulated firms have effective prudential arrangements, and adequate financial resources to ensure they meet threshold conditions and on-going regulatory requirements. This will require skills, experience and experti...

Delivery: UK · United Kingdom

Lot J: Information and Communications Technology and Cyber Risk and Resilience Management Advice, skills and technical expertise in assessing whether regulated firms (or designated Critical Third Parties) have effective Information and Communications Technology (ICT) and cyber operational risk and resiliency management and culture to support safety and sound...

Delivery: UK · United Kingdom

Lot K – Threat Intelligence and Penetration Testing Provision of services by suppliers with a CBEST or STAR-FS accreditation in the following areas: • Threat Intelligence (TI) • Penetration Testing (PT) A Threat Intelligence supplier is required to have a CREST accredited CCTIM - CREST Certified Threat Intelligence Manager. A Penetration Testing supplier is...

Delivery: UK · United Kingdom

Lot L: Credit Rating Agencies The provision of credit opinions to the standard of public issue credit ratings on financial assets. The service is to be provided by a credit rating agency that is registered or certified in accordance with CRA regulation.

Delivery: UK · United Kingdom

Lot M: Trade and Transaction Reporting Advice, skills and technical expertise in assessing the design and operational effectiveness of a firm’s trade and transaction reporting processes, reporting logic, systems and controls, and change management. This should include technology backed capability for data completeness and accuracy testing for one or more of...

Delivery: UK · United Kingdom

Lot N: Financial Analysis The provision of consultancy advice and expertise on finance related consultancy. This will include but not be limited to: • Audit and investigation • Statistical analysis and modelling • Financial analysis and modelling • Data analysis and visualisation, including for large data sets • Pensions and actuarial consultancy services, w...

Delivery: UK · United Kingdom

Lot O: Economic Regulation and Analysis The provision of consultancy advice and expertise on competition and regulatory economics, including both theoretical and applied advice in relation to the regulation and analysis of financial services. The areas of expertise will include, but not be limited to: • Cost Benefit Analysis, including valuation of non-marke...

Delivery: UK · United Kingdom

Lot P: Business Consultancy The provision of business consultancy advice relating to strategy, structure, management and/or Relevant Participating Authority operations. This covers advice and/or the delivery of complex, multi-discipline projects/work streams/programmes or portfolios. This will include, but not be limited to: • Transformation, strategy and ma...

Delivery: UK · United Kingdom