As part of the derivatives reform programme this Tier 1 Investment Bank needed to develop and implement a client outreach strategy ahead of a number of upcoming compliance deadlines, for both Dodd Frank and EMIR regulations.

To help meet these deadlines and overcome the associated operational and reputational risk, the Gate One team were engaged to lead and manage a ‘delegated reporting’ service to the bank’s top clients.


“Gate One partnered with us to establish the client population, setting out the operating model, then managing the outreach process with our clients for EMIR delegated reporting. This model worked well and has now been extended to other areas of our Derivatives Reform Programme requiring a similar client outreach management process. I thoroughly recommend their services in this area.”



After developing a client outreach strategy and approach, the team implemented an internal ‘operating model’ in order to implement client service requests, manage client functional teams and control the end-to-end process.

  • Clients were contacted in prioritised batches, allowing real-time status tracking per client. The team brought the structure and control of best practice project and programme management to the engagement, ensuring senior stakeholders were provided with regular MI and visibility into key issues.
  • After meeting the tight regulatory deadlines, the team implemented a robust client query management approach to track both client and internal issues through to resolution, including coordinating any remediation required. Based on lessons learned from the factory process and control framework, roles and responsibilities were reviewed and improved for transition to Business as Usual.
  • Stakeholder management and senior engagement were at the centre of our approach, with regular and high quality MI providing transparency of progress and senior executive confidence that the project was well controlled.