Regulatory Authorities

Services to Regulatory Authorities

Sator provides an experienced and flexible additional resource to regulatory authorities on a day rate or project basis with regard to financial services supervision matters including investigations and complaint handling.

Expertise is also offered in regard to AML/CFT issues across financial services Designated Non-Financial Businesses and Professionals and Non Profit Organisations.

Governance matters are critical to a regulatory authority and Sator can assist in a number of respects, either in an advisory capacity (to the executive or non executive board of the Authority or to Government) or to provide an experienced independent person to review effectiveness or investigate a complaint. 

  • Preparing for or responding to IMF/FATF Assessments
  • International co operation, law and practices
  • Adopting a risk based approach to supervision
  • Enforcement case management
  • Reporting professional appointments
  • Remit, responsibilities, enabling law
  • Board structure, representation, independence and accountability
  • Objectives and over-arching policies (e.g. licensing policy -v- growth)
  • Decision making process
  • Risk management
  • Resources, competencies, funding and effectiveness
  • International co-operation
  • Managing transparency and key relationships

Technical Assistance

Review or development of the Regulatory Framework. Banking, investment business, securities, funds, insurance, and trust and corporate service providers' regimes regarding licensing, supervision and enforcement.


An investigation may look into conduct of a regulated person or provide an independent review of a complaint about the regulatory authority.


Sator can work with the competent authorities in a jurisdiction to devise a national AML/CFT strategy, detailing the risks faced by the jurisdiction, how its measures address them and how agencies divide responsibiities and cooperate effectively with one another. Technical assistance can be provided to ensure legal provision meets FATF requirements.

International Relations

Establishing an international persona and effective inter-agency co-operation has never been so critical to effective regulation.  Sator Regulatory Consulting can assist authorities develop their approach to this area, providing positive guidance on how to secure effective cross border relationships, inter-regulatory co-operation and proper engagement with international bodies.

International Governance Matters

Demonstrating sound governance and clear accountability is an essential element of achieving proper political and public confidence as well as protecting the authority from mission creep or weak decision making.  Sator Regulatory Consulting can review current arrangements and advise on areas for improvement, or provide assurance that existing measures meet best practice across the governance agenda.

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