Regulatory and Strategic Support
Navigating regulatory complexity and preparing organisations to operate with confidence in highly regulated insurance markets.
Regulatory intelligence and strategic clarity, delivered as an integrated advisory function for boards and leadership teams.
Regulated insurance firms operate in an environment of increasing scrutiny — from the FCA and PRA, from Lloyd’s market oversight, and from investors and counterparties who expect demonstrable governance maturity. The cost of misalignment is rarely abstract; it surfaces in delayed authorisations, intervention risk, and reputational exposure at the most critical moments in a firm’s lifecycle.
We support leadership teams and boards in understanding regulatory expectations, preparing for engagement, and positioning their organisations to move decisively through periods of change — whether that means a new market entry, a transaction, a restructuring, or a response to supervisory attention.
Our approach is practical and senior-led. We do not deliver generic compliance frameworks; we work alongside your board and executive team to ensure regulatory readiness is embedded in how your organisation thinks and acts.
We focus on enabling confident regulatory engagement by
- aligning governance and risk frameworks to Lloyd’s, FCA and PRA expectations
- preparing boards and executives for regulatory review and supervisory dialogue
- supporting clear, credible investor and regulatory reporting
- ensuring governance structures are fit for purpose during periods of structural change
- embedding regulatory awareness into decision-making at board and executive level
- providing continuity of expertise through transactions, capital raises and growth
What this service involves
How we support regulatory and strategic positioning
Lloyd’s operates with a distinct governance culture and a set of market standards that go beyond the requirements of the general regulatory framework. For managing agents, syndicates and coverholders, alignment to Lloyd’s expectations is not optional — it is a condition of operating effectively in the market.
We bring direct experience of Lloyd’s governance requirements and work with firms to ensure their structures, reporting and board behaviours meet the expectations of the Corporation. Our support includes:
- Alignment of governance frameworks to Lloyd’s Minimum Standards
- Board and committee structuring appropriate to the Lloyd’s market
- Preparation for Lloyd’s performance management and oversight reviews
- Governance support during Syndicate in a Box and MGA authorisation processes
Supervisory dialogue with the FCA and PRA demands both technical precision and strategic judgment. The way a firm presents itself — its governance structures, its risk frameworks, its board capability — shapes the quality and outcome of regulatory relationships over time.
We prepare boards and senior management teams to engage with their regulators from a position of strength. Our support includes:
- Assessment and gap analysis against FCA and PRA expectations
- Preparation for supervisory reviews and regulatory meetings
- Support with SMCR mapping, certification and Senior Manager responsibilities
- Regulatory horizon scanning and impact assessment for boards
Periods of structural change — expansion into new markets, acquisitions, capital raises, or leadership transition — place acute pressure on governance frameworks. Regulatory obligations do not pause; in most cases, they intensify. Boards need to demonstrate both continuity and adaptability.
We provide governance continuity through periods of significant business change, ensuring structures and reporting remain fit for purpose as circumstances evolve. Our support includes:
- Governance framework review and updating during expansion or restructuring
- Board and investor reporting during transactions and capital events
- Regulatory notification and communication support
- Interim governance and company secretarial resource during transition periods
Investors in regulated insurance businesses — whether private equity, institutional, or strategic — apply increasing scrutiny to governance quality. For scaling MGAs and insurance platforms, the ability to demonstrate mature, well-documented governance is often a condition of investment and growth capital.
We work with leadership teams to develop reporting frameworks that meet the expectations of both investors and regulators, presenting governance capability clearly and credibly. Our support includes:
- Development of investor-facing governance reporting frameworks
- Board pack design and governance dashboard development
- Support with governance due diligence for transactions
- Ongoing board reporting aligned to regulatory and investor expectations
Why Boards Choose Us
We support:
Boards choose us for our senior-led delivery, providing expert guidance, practical solutions, and trusted support at every level of governance.
Specialist governance, risk management, and compliance professionals work with us to leverage deep expertise, drive robust oversight, enhance regulatory alignment, and implement practical solutions that support strategic growth and operational resilience.
We bring deep experience navigating Lloyd’s, FCA, and PRA frameworks, helping clients achieve robust governance, regulatory compliance, and effective risk oversight.
We ensure governance frameworks keep accountability firmly with the board while supporting effective oversight.
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Misty Looby
Director, Governance Advisory
Misty is a seasoned governance and company secretarial professional with nearly a decade of specialist experience in the insurance and reinsurance sector.