Client projects Financial regulation

Practical experience from regulatory projects

Regulatory compliance is complex – especially when it comes to cross-border implementations, new EU regulations or time-critical projects. On this page, you will find anonymised insights into real projects that I have managed for regulated financial institutions. Each case study shows specifically:

What were the challenges?
How was the project structured?
What results were achieved?

No glossy marketing, just authentic practical reports – with the successes, but also the lessons learned.

Why case studies?

Regulatory projects rarely fail due to a lack of expertise on the regulations. They fail due to implementation:

Fragmented responsibilities,
Unclear governance,
Resistance in specialist departments,
Unrealistic timelines.

The following case studies show how I overcame these typical hurdles in real projects – and which approaches proved successful.

In-depth content and practical examples

All projects are anonymised but authentic. Names, figures and identifying details have been changed, but the challenges, approaches and results are real.

Graphical representation of the 3-pillar model for Fit & Proper preparation: Pillar 1 Theory, Pillar 2 Practice, Pillar 3 Communication

FIT & PROPER for international business managers: Systematic preparation for approval by competent authorities

A mid-sized commercial bank had to prepare an international managing director for BaFin authorisation within one year – without German and European banking experience. Through a structured 3-pillar approach combining theoretical training, practical onboarding, and proactive supervisory communication, the candidate was successfully authorised. This case study demonstrates how Fit & Proper processes for international candidates can be implemented efficiently and in compliance with supervisory requirements.

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Graphic illustrating third-party lifecycle management. A pie chart visualises six phases, with the first phase, “Initialisation”, highlighted in orange and explicitly focused on.

DORA Third-Party Management: Practical Report from a cross-border harmonization project

How do you manage third-party risks when the inventory is incomplete, contracts do not meet DORA minimum requirements, and there are no uniform assessment criteria? This case study shows how a European asset manager has reorganised its third-party risk management – in a practical, DORA-compliant and sustainable manner.

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Every institution faces its own challenges. Let us work together to find out how we can support you

Let us work together to examine how you can implement regulatory requirements in a practical and efficient manner

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