Service

Consulting

Working with our clients to focus on strategic and emerging risk is one of the most important ways we support our clients to succeed

The regulatory and business environment continues to change rapidly both nationally and internationally.

Businesses are under increased scrutiny from regulators, may face unrealistic expectations of customers and other stakeholders and are grappling with our new operating environment.

Our Consulting Team partner with you to go beyond identifying what you must do to comply with the law. Working with Boards, CEOs and management teams, we help develop strategies across areas that are often interlinked – governance, risk management, culture and conduct and compliance needs.

We will work with you to help identify what you should do to protect your business, manage all non-financial risk, and ease the regulatory and compliance burden. Our expertise covers four key areas:

Governance and compliance go hand in hand but it’s important to recognise the distinct roles. Governance will determine your company’s attitude towards business practices and appetite for risk. Compliance will ensure this attitude and appetite sit within the law. We can provide guidance on best practice for each role and work with you to tailor an approach that works for your business.

  • Board-level advisory
  • Business continuity
  • Crisis management
  • Key risk identification: likelihood and impact
  • Director’s and officer’s liability
  • Navigating the Companies Act including Directors and Company Secretary obligations
  • Risk appetite, framework and key risk policies

Determining and communicating what your business stands for is essential in the current environment, especially with the ease and speed of communication in today’s world. Getting this right will help ensure your people can be at their best. An inclusive and positive culture reduces reputational and other risk. We work with you to deliver insight, to build strength and to help turn risk into opportunity for your business.

  • Conduct risk, controls and risk culture
  • Ethical conduct
  • Key performance indicators (establishment and measurement)
  • Navigating and understanding sector Acts for example the Reserve Bank of New Zealand Act 1989
  • Reputational risk
  • Remuneration strategies

You need to ensure you have appropriate controls in place to manage your company’s appetite for risk. This requires regular monitoring of your risk exposure, and having processes in place to demonstrate compliance to regulators. We will help you apply lessons from the past to ensure better ways of working in the future.

  • Climate change
  • Conflicts of Interest
  • Control design and testing
  • Data privacy and cybersecurity
  • Employment obligations
  • Finance
  • Fraud and financial crime (AML and anti-bribery)
  • Health & safety
  • Impact of current and emerging legislation
  • Non-disclosure agreements (clients and suppliers)
  • Professional conduct
  • Risk registers
  • Social media
  • Supply chain risks
  • Tax

We will help you efficiently manage all regulatory compliance requirements.

  • Advice on regulatory requirements at both a national and international level
  • Implementation plans for new legal/regulatory requirements
  • Proactive and trusted relationships with the regulator/regulatory bodies at board level and throughout the business
  • Regulatory investigations
  • Reduce the risk of regulatory oversights
  • Terms of agreements
  • Conducting an internal investigation for a client arising from the collapse of a commercial counterparty. We advised on what went wrong and how the client could change its internal processes and practices to reduce the risk of reoccurrence.
  • Improving the delivery of legal services: A business faced increasing pressure to expand the scope and volume of legal services (compounded with increasing compliance obligations) while operating with a shrinking budget. We worked closely with management to improve efficiency, reduce costs and equip the Legal Services department to deliver added value.
  • Remediating errors found on conduct and culture review: A client sought advice on the legal and other risks relating to a series of human processing and/or automated system errors. Initially, we provided advice on whether they had a strict legal obligation to remediate. Once legal obligations were determined, we helped our client identify, assess and implement a series of remediation options.
  • Managing tax risk: A board requirement was to implement a robust, documented method of managing tax risk. We designed and implemented a tax risk management framework to ensure compliance needs were met. Our approach received a positive reaction from the regulator, raised tax awareness within the organisation and reduced the levels of tax risk in the business.

Introducing Chapman Tripp Consulting

Quality
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