Financial Services Advisory & Regulatory Support

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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