Consultancy firm specialized in risk management and compliance

Banking and financial regulation

Consulting and training for financial institutions

Consultancy firm specialized in risk management and compliance

Banking and financial regulation

Consulting and training for financial institutions

Consultancy firm specialized in risk management and compliance

Banking and financial regulation

Consulting and training for financial institutions

Our line of business

Helping you in your regulation projects is our job!

Regulation Partners is a consultancy firm specialized in sectors such as banking and financial regulation and risk management. We advise any type of regulated institutions, from authorization files to delegated inspections… We also operate in credit, payment and electronic currency institutions, asset management and financing companies as well as mutual and insurance companies on strategic missions linked to the development of new regulations.


    As a consulting firm, we will help you be in compliance with the regulation. Regulation partners is your project partner!

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    We operate a continuous regulatory monitoring which gives an updated overview of the latest texts broadcast and the main texts on which financial institutions and intermediaries have to be in compliance.
    - Daily alerts
    - Summaries adapted to customers activities
    - A database including texts and their summaries.

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    Regulation Partners offers you the opportunity to develop AI tools in order to optimize compliance and internal control processes and systems, as well as to formalize and support its clients for the implementation of AI governance tools and their deployment.

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    As an expert in risk management, Regulation Partners is a reference contact for financial institutions in this field. Regulation Partners has a significant experience and a perfect knowledge in the prudential regulation regularly applied in the scope of our missions.

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    With a considerable experience in various fields, Regulation Partners and its expert consultants ensure the implementation and monitoring of processes and regulations influencing the way a firm is managed and controlled. Regulation Partners also ensures the training courses of members board of Directors and supervisory bodies.

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    We regularly organize conferences on themes always linked to news and regulatory evolutions.

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    Regulation Partners checks the conformity of your procedures with the applicable regulation. We set up all the provisions and organisations allowing to comply with regulatory standards.

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    In order to train banking and financial teams, management and board members, we regularly organize training courses on various themes while always adapting contents to profession and regulation evolutions.
    - Intra-enterprise
    - Inter-enterprise
    - E-learning

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    We assist you with your activities control and audit activities and operate permanent and periodic control missions on all professional and transversal topics.

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Our events

We regularly organize conferences on themes always linked to news and regulatory evolutions. We also take part in conferences organized by partners which allows us to share and compare our experience.

Events coming soon

Our news

We share the major news with you, not-to-be-missed events, publication releases, news articles, dates to remember…

The general data protection regulation (GDPR)

The general data protection regulation came into force on 25 may 2018

The GDPR harmonises data management in the different EU countries. It allows for more transparency and therefore more trust in the digital world. It combines the protection of individuals’ rights with the free movement of data within the European Union.

Why is it important ?

Because the amount of sanctions has become very important for non-compliant companies and can rise up to 4{c8b2bdb590ab5d3241f57596dcb666f1744d257dfd4a3bf50cf128a40f6143f4} of the worldwide turnover of the company concerned.

First of all, let us remember that this European regulation is applicable to all companies processing personal data and not only to financial institutions.

What is personal data ?

Personal data is information that makes it possible to identify or recognize a person directly or indirectly, such as a date of birth, a postal address, an e-mail address, a computer’s IP address, a telephone number, a payment card number, a vehicle registration plate, a fingerprint, a social security number…

Financial institutions therefore process a significant amount of personal data.

What are the main points of this European regulation ?

1° first of all, the definition of the purpose of the processing operations

The definition of the purpose of processing personal data is very important because financial institutions will have to obtain the consent of the data subjects on the purpose of processing the data concerning them.

If the purpose changes, the consent of the persons concerned must be obtained for the new purpose. For example, if customer data is collected to manage their account, and customer consent has been collected only for that purpose, if the bank wishes to send customers marketing materials, their consent will need to be obtained for that new purpose.

This consent must be a positive act (no default consent).

2° The treatment of the rights of the persons concerned

New rights appear for the data subjects as well as the obligation to set up a mechanism for the exercise of these rights (right to information, rectification, opposition to data processing, etc.).

3° the need to inform the customer without delay in the event of a suspected violation of personal data

For example, following the intrusion on a computer system.

4° the transfer of data outside the EU
5° the consistency of archiving times with the purposes

It must be verified that the duration of the data archiving is consistent with the purpose for which the clients’ consent was obtained.

6° the verification that companies to which the financial institution outsource the processing of personal data comply with the GDPR
7° the establishment of records of processing activities

This provision replaces the previous obligations to declare to the “CNIL”.

8° finally, the appointment of a data protection officer

This DPO is the real conductor of the system. He must obviously be familiar with these regulations, train the teams, ensure the conformity of the devices and be the sole contact person for the CNIL.

Marie-Agnès Nicolet

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Artificial intelligence and compliance

Compliance, internal control and risk management functions have become very consuming in terms of human resources. The percentage of a financial institution staff dedicated to these functions varies from approximatively 2 to 6, according to the nature of the activities and the risks incurred.


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Product distribution in retail banks

In a notice of 8 September 2017, the ACPR reported itself compliant with the EBA orientations (GL 2015/18) on the governance of banking retail products. In this same notice, it informs all the institutions subject to its monitoring that they must do everything possible to be compliant with it.

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