Companies often overlook the strategic and financial importance of including risk and compliance considerations at the earliest stages of business planning.

We work closely with your founding team and senior leaders to understand your business goals and create a tailored Regulatory Business Plan to achieve those goals.

Our Regulatory Business Plan services include:

• Workshop(s) with Board and key advisors to determine best options for jurisdictions and main regulatory hub.

• Analysis of existing business plans and go-to-market strategies to ensure realistic timelines and financial projections.

• Drafting a Regulatory Business Plan that is suitable for regulators, fundraising partners, and key service providers.

We have project managed applications for a variety of licenses and authorisations in many jurisdictions including the UK, Germany, Ireland, France, Cyprus, UAE, New Zealand and Australia.

As former regulators who have personally assessed dozens of applications, we know how to avoid the most common mistakes and achieve successful outcomes for our clients.

Our Licensing services include:

• Licensing ‘readiness’ reviews with gap analysis and bespoke Licensing Project Plan.

• Preparation of licence application(s) and management of supporting materials (e.g. MiFID firms, Crypto Custody, VASPs, PSD2, EMI, AIFM, etc.).

• Drafting all required policies and procedures.

• Company registration for regulator portals and due diligence systems.

• Preparation and submission of personal applications for the MRLO, beneficial owner(s), directors and/or senior managers.

• Proactive management of the regulatory agency assessment team to ensure application(s) are progressing.

Our consultants have been in your shoes and know the unique difficulties of overseeing the risk and compliance functions for global companies in the start-up or hyper-growth phases.

We emphasise practical frameworks and policies that are simple to maintain while achieving the desired results.

Our Risk & Compliance services include:

• Designing Risk & Compliance frameworks, policies, and procedures.

• Performing Independent Compliance Assurance Reviews.

• Creating the Annual Compliance Plan.

• Providing Compliance Officer services.

• Drafting and delivering Risk & Compliance reporting to the Board.

• Designing and overseeing the implementation of remediation projects.

• Drafting Regulatory Change Management Project Plans.

We have extensive knowledge of financial crime investigations and preventative measures, as well as AML/CTF legislative requirements and best practices.

Our Financial Crime & AML/CTF services include:

• Designing risk-based and scalable AML/CTF Programmes.

• Performing AML/CTF audits and assessments.

• Drafting remediation plans.

• Recommendations for RegTech providers (e.g., KYC, Travel Rule, Transaction Monitoring, etc.) and project planning for integration of software solutions into the Enterprise Risk Management Framework.

• Providing on-going advice and support to MRLOs on STRs, transaction monitoring rules, sanctions screening, amendments to customer onboarding policies, and issues requiring escalation to the Board of Directors.