Welcome to ADM Risk, Regulation & Strategy

First launched in 2003, ADM Risk, Regulation & Strategy Limited (‘ADM’) is a risk, regulatory and strategic consultancy focused on enabling financial services firms to successfully meet the challenge of regulatory change in the financial services sector. We help firms make sense of their regulatory environment and support the creation and on-going development of effective risk management and control structures underpinned by solid corporate and risk governance.

Working directly with clients and as a sub-contractor to top tier consultancies, ADM offers

• a transparent, objective and confidential approach
• pragmatic solutions
• a fully documented process
• a service that is proportionate to client requirements and regulatory expectations.

From start to finish, all work undertaken by ADM involves Anita D. Millar – a risk and regulatory expert with a proven track record and over 18 years of experience in the financial services sector.

Services

• Design, development and continued evolution of risk governance structures, risk frameworks and risk processes (including policies and procedures)
• Health / readiness checks of programmes relating to Basel II, MiFID and ARROW II
• Testing and monitoring of client compliance with FSA rules concerning the management of prudential risks
• Challenging client Internal Capital Adequacy Assessment Process (ICAAP) submissions and examining the coverage and presentation of client submissions, as well as the governance and structure of client ICAAP programmes
• Identification and investigation of upcoming interrelated regulatory developments affecting how clients may be assessed by regulators and other stakeholders
• Regulatory liaison, lobbying services and strategic advice for clients seeking to proactively influence their regulatory environment and / or dynamically manage their regulatory risk
• Training and education via consultancy products and training support.

Products

Risk assurance templates

A suite of risk benchmarks presented as a series of working templates and used by ADM to assess the health of a client’s risk framework / governance, the completeness of a client’s ICAAP submission and project design, and the robustness of its credit risk management. The templates offer clients an opportunity to take the benchmarks / standards developed by ADM and adapt them to their own requirements.

EU Regulatory Developments summary tables

Since 1999, the EU has actively pursued its objective of creating a single market in financial services across the EU as a whole. The Financial Services Action Plan (FSAP) and FSAP+ (EU initiatives not included in the original FSAP, but generally viewed as an extension of the FSAP) consist of a wide-ranging set of EU measures constructed in support of this objective.

Navigating the various FSAP-related measures and their continued evolution is time-consuming and difficult. The EU Regulatory Developments summary tables covering the EU’s FSAP and related measures offer clients a high-level roadmap.

In addition to key contextual information, the summary tables provide an overview of the breadth and depth of EU regulatory measures aimed at the financial services sector as well as access to source documents via a series of URL links. The database's design enhances transparency, supports accuracy, and links the client to those details that are of most interest or concern. It is an essential reference tool for clients launching their own analysis. Data fields include

• full identification (official and unofficial) of EU measures (Directives / Regulations and Commission communications)
• summary information on the substance of the EU measures
• timeline guidance regarding the adoption of a measure, its entry into the EU's Official Journal and its transposition date
• direct access to EU source text, legislative summaries, associated committee (e.g. ARC or Lamfalussy Level 2 or Level 3) developments and related supranational (e.g. BIS, IOSCO), industry body (e.g. ISDA) and government (e.g. FSA and HMT) internet sites.

Articles

Better regulation – more questions than answers as provided to Complinet (www.complinet.com) for publication on 30/08/2005

A report on the potential consequences of the MiFID as distributed by the BBA in June 2006

Contacting ADM

For further information please contact:

ADM Risk, Regulation & Strategy Ltd
82 Drayton Gardens
London
SW10 9SB

Tel: +44 (0)20 7370 6363
E-mail: anita.millar@admadvisory.com

Useful links

Bank for International Settlements (BIS)
http://www.bis.org/

Financial Stability Board (FSB)

http://www.financialstabilityboard.org/

Financial Action Task Force

http://www.fatf-gafi.org/pages/0,2987,en_32250379_32235720_1_1_1_1_1,00.html

The Financial Services Authority (FSA)
http://www.fsa.gov.uk/

Office of the Comptroller of the Currency
http://www.occ.treas.gov/

The Group of Thirty
http://www.group30.org/

JWG-IT

http://www.jwg-it.eu/

British Bankers Association
http://www.bba.org.uk/

The Institute of International Finance, Inc
http://www.iif.com/

International Swaps and Derivatives Association
http://www.isda.org/

Alternative Investment Managers Association

http://www.aima.org/

Investment Management Association

http://www.investmentuk.org/

Futures and Options Association
http://www.foa.co.uk/

© ADM Risk, Regulation & Strategy Ltd 2009

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