Financial Services Advisory & Regulatory Support

Knowledge | Expertise | Experience

FS ADVISORY

Our Financial Advisory Services include:

 

  • Start-up Consulting

  • Registration and Authorization Support in FCA, SEC, SFC, MAS and AMF, and many others

  • FCA regulation for consultants/arrangers

  • Compliance Design, Compliance Policies, Compliance Procedures

  • Regulation and Tax Advisory

  • Capital and Liquidity Forecasts

  • Business modeling incorporations


Compliance

Compliance Consulting Services include:

 

  • International Level Regulation

  • Thematic Compliance overviews

  • Compliance System Overview

  • Various types of checks, including Mock Regulatory checks

  • On-site visits, exams, and law enforcement investigations

  • Customer reviews about employees

  • Cyber security and its assessment

  • Financial and regulatory documents/reporting

  • Consultations on the preparation of regulatory changes

  • Regulatory Update Notifications

  • Regulatory staff training

  • Secondment to compliance and regulatory responsibilities

Need more details? Contact us

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