Board Regulatory Assurance Assessment

Could your board demonstrate credible oversight if scrutinised tomorrow?

A formal, independent evaluation of your board's regulatory oversight — across conduct, prudential governance, and AI — producing a written report with evidenced findings and prioritised recommendations. Distinct from a compliance review: this assesses whether the board itself, independent of management, can evidence genuine oversight.

Enquire About a Full Assessment

"Could this board demonstrate credible, independent oversight of its regulatory position if scrutinised tomorrow — not in the abstract, but with evidence?"

What it is

A different kind of assessment — independent, evidenced, and board-facing.

Most boards receive assurance about their regulatory position from the function they are meant to oversee. The Board Regulatory Assurance Assessment is deliberately different: independent interviews with board members, document review against a structured methodology, and a written report delivered directly to the board — not routed through management.

Free Diagnostic Conversation

The Introduction

30-minute conversation, no charge
Identifies whether a gap likely exists
A starting point, not a deliverable

What it covers

Three pillars. One oversight architecture question underneath them all.

Every assessment begins with whether the board's oversight mechanism is itself sound — independent of management, genuinely evidenced — before evaluating the three areas where board accountability is most acute.

PILLAR 1

Conduct & Consumer Duty

Is the board receiving outcome evidence, or only process metrics?

Has fair value been genuinely retested, not just reconfirmed?

Are vulnerable customer outcomes visible as a distinct data set?

PILLAR 2

Prudential Governance

Can the board articulate its key capital risks independently?

Is internal model governance a substantive board matter?

Does the ICAAP show genuine deliberation and challenge?

PILLAR 3

AI Governance

Has the board mapped AI-influenced customer decisions?

Is a named Senior Manager genuinely accountable?

Has assurance moved from periodic to continuous?

How it works

Five stages. Independent throughout.

From document review to board presentation, every stage is designed to produce evidence the board itself can rely on — not a summary of what management already believes to be true.

01
Document Review
Board packs, minutes, Statements of Responsibilities, and policy frameworks across all three pillars.
3–5 days
02
Independent Interviews
Structured conversations with the Chair and board members, without management present.
2–3 days
03
Cross-Pillar Assessment
Full question set applied with RAG rating and evidence review.
4–6 days
04
Written Report
Findings, ratings, and prioritised recommendations — ranked by urgency, not organised by pillar.
3–4 days
05
Board Presentation
Findings delivered directly to the board — never routed through management.
Half day

Try it yourself

A short self-assessment — free, and a preview of the full methodology.

Twelve questions, drawn directly from the full Assessment framework, spanning oversight architecture and all three pillars. This is not a substitute for the full independent Assessment — but it will give your board an immediate, honest signal of where to look first.

The full Assessment is a priced, standalone product — typically £12,000–£18,000 — reflecting the independent evidentiary work and board interviews involved, closer to a Project Engagement in scope than a single facilitated session.

Ready to commission the full Assessment?

Every engagement begins with a short conversation to confirm scope and fit. There is no charge for this initial discussion.

Enquire About an Assessment