For CROs

Across all sectors of the financial services market, we have supported CROs with additional lines of defence to protect their growth plans, but don’t just take our word for it, read our case studies to see examples of our work.

We are trusted for:

• Our experienced subject matter experts
• Our supply of independent lines of defence
• Our expertise in identifying risks
• Our history as the longest specialist supplier in the sector
• Our ability to horizon scan for future risks
• Our quality outputs

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Coworkers working on project

Case Studies

Rockstead Audience 3

Trade Association required on-boarding process for new members

We developed a compliant onboarding process, enabling consistent due diligence and independent oversight of new members.

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Rockstead Audience 4

Prepare a financial distributor for conducting regulated business

We strengthened SMCR governance, delivered independent assurance, supporting the client through the process.

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Lending Advisory Services - Hero

Telecoms company annual AUP and policy reviews

We conducted an AUP review, identified policy gaps and delivered improvements to internal processes.

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Rockstead Audience 4

Specialist Bank

Our independent review meant this bank obtained full regulated FCA status, which was pivotal to securing further funding.

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