Uncover and understand regulatory risk

Growth in Financial Fines

There has been an exponential growth in the number and level of fines since 2009. Current indications show that this trend is set to continue. This is a substantial financial risk to financial institutions.


Complexity of Financial Fines

Regulatory incidents can now involve many jurisdictions. The pace of regulatory change is continuing, we can piece together all the components of a fine/enforcement notice, from principles to specific legislation where relevant.


The Specific Interest of regulators

Who is being fined and for what? What is trending? What are different regulators saying and emphasising in their judgments? Forensic analysis of all regulatory fines globally and relating them to international cases and other regulators where relevant.

Corlytics solutions aid in uncovering and predicting avoidable compliance and regulatory risk within the financial markets


Our Solutions


The Enforcement Database consists of metadata on all published enforcement notices giving global coverage on all financial institutions, main regulators and fining authorities.


 For Regulatory Investigation Support:

  • Immediate categorisation of a potential regulatory breach – consequences and fine size
  • Immediate look-up of similar cases
  • A forensic view on every global fine
  • Evidence based data, ensuring rapid turnaround
  • Trends on individuals by position/control function
  • What regulators are thinking in their judgements?
  • Identification of fines by controls/ service lines and trends of recent fines
  • Key issues/fine trends by regulator/by regulation type
  • Comparison trends in enforcement interests with other regulators and related cases elsewhere
  • Identify the regulatory risk by market




We provide a unique common format for both current and future regulatory risk evaluations and assessments:

Current Regulatory Risk Assessment (CRRA)
This evaluates and assesses the associated risk with any current local or global regulatory Incident (or potential incident) for any regulated firm and its senior management.

Future Regulatory Risk Assessment (FRRA)
We assess and estimate future Regulatory Risk and consequences. These risk assessments include financial and non financial consequences, in addition to consequences for senior management.

Evidence Based Internal Audit System (eBIAS)
Based on priority levels, we calculate overall risk weightings using a combination of external data on regulatory risk and internal risks of an organisation.

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Our clients


Our clients across the globe span all areas of the financial and securities remit including:

  • Financial Institutions
  • Regional and Global Regulators
  • Legal & Financial Advisors to Financial Institutions


Our people

The Corlytics team is a unique combination of legal and regulatory experts, proven securities and risk practitioners, leading data scientists and seasoned technologists

Stronger Together

We are a collaborative, ethical and diverse team. We value equally all our financial, legal/regulatory and data science expertise and people. We work well together to produce ground breaking, world class regulatory risk intelligence.


Robust Intelligence

Firms are dealing with increasing regulations, mounting potential fines and ever greater scrutiny. We are here to provide clarity and intelligence. We work alongside financial firms, their advisors and regulators, to provide robust solutions to ensure insightful data, that predicts and calculates consequences, so that the right actions can be assessed.


Fresh Thinking

We use proven practices and technologies from legal, financial regulation, operational risk management and analytics technology to provide accurate insight.

Intelligent synthesis of regulatory enforcement data

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Please contact us if you want any further information about Corlytics and their solutions.



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