PRACTICAL COMPLIANCE MANAGEMENT SOLUTIONS

We offer effective, no-nonsense compliance management solutions built around your operating reality, not generic templates or theoretical models

Our approach is to deliver compliance management solutions through a comprehensive set of regulatory compliance services tailored to your business, including:

Your business goals

Financial Products and Services you offer

Your business size

Your technology and Human Resources

Your Risk Appetite

Your Governance Structure

Your Client Demographics

Your Regulatory History

Your Countries of Operation

Their applicable laws, and relevant licensing requirements and regulations, including key aspects such as outsourced providers' monitoring, compliance training, risk management, audit, and assurance

Related Compliance Obligations

Compliance support for obligations across financial laws, licensing laws, privacy laws, anti-money laundering and counter-terrorist financing (AML/CFT) laws, fair trading laws, and more

Compliance Assurance Obligations

Internal control design and testing, implementation of compliance calendars, management plans, compliance assurance programs, and other second- and third-line compliance requirements

Compliance Support for your operational compliance requirements

Fraud Prevention Controls ︱Effective Governance Structures︱Market Conduct ︱Internal Controls Testing

Client Due Diligence and Onboarding ︱Transaction Monitoring and Surveillance ︱Recordkeeping
Conflict of Interest Management ︱Regulatory Technology (RegTech) integration︱Internal Rreporting
External Reporting ︱Regulatory Filings︱ Trade Execution ︱Clearing and Settlement

Effective Compliance Support

Managed compliance service for regulated businesses

Targeted compliance consulting services on complex compliance issues

Managed BSA/AML/CFT Compliance Solutions for AML/CFT Regulated Businesses

Specialised regulatory compliance services across all key AML/CFT topics

Risk Management and Assurance Solutions for Effective Compliance Support

A range of tailored Regulatory Compliance Services to solve specific problems

Effective Managed Compliance Services

We offer Managed Compliance Services for the following financial institutions and regulated entities:

Compliance Management Solutions for Derivatives Issuers

Compliance Management Solutions for Fund Managers

Compliance Management Solutions for Finance Companies

Compliance Management Solutions for Money Remitters and MSBs

Compliance Management Solutions for E-Money Institutions

Compliance Management Solutions for Investment Firms

Compliance Management Solutions for Wealth Managers

Compliance Management Solutions for P2P Lending Platforms

Compliance Management Solutions for Crowdfunding Platforms

Compliance Management Solutions for Consumer Lenders

Compliance Management Solutions for Custodians

Compliance Management Solutions for Non-Bank Lenders

Compliance Management Solutions for Forex Brokers

Compliance Management Solutions for Neo-Banks

Compliance Management Solutions for Commercial Lenders

Compliance Management Solutions for Investment Bankers

Compliance Management Solutions for Online Gambling Businesses

Compliance Management Solutions for ADIs

HOW WE ARE DIFFERENT

We’ve been delivering successful regulatory outcomes in the real world for years

We solve real compliance problems, not theoretical ones

We push back when needed - regardless of who is on the other side

We won’t waste your time with workshops, buzzwords, or recycled content

We know compliance from the inside out

We work the problem - not the theory or the textbook

We understand how regulators, auditors, banks, legal advisers think - because we’ve dealt with them for years across multiple jurisdictions

We know who slows things down, who matters, what they look for, and how to navigate the noise

WE MAKE COMPLIANCE SUPPORT YOUR COMMERCIAL STRATEGY

We tie regulatory obligations to revenue, product, and market realities - not the other way around

We protect commercial velocity while managing real-world regulatory expectations

We’ve effectively done it all and seen it all

We’ve managed compliance for early-stage startups, high-growth tech firms, multi-licensed financial groups, high-risk business models, and cross-border operations with conflicting regulatory requirements

WE TAKE THE WORK OFF YOUR PLATE - NOT ADD TO IT

We use technology only where it actually helps: faster onboarding, clearer monitoring, stronger controls, and better reporting

No unnecessary platforms, no complexity - just tools that reduce the workload and improve outcomes

WE USE TECHNOLOGY TO REMOVE FRICTION - NOT TO CREATE MORE WORK

We take ownership of regulators, auditors, banks, and external advisers - so you don’t have to

We cut through delays, escalation loops, and unnecessary noise

We keep your board, executives, and investors informed with clear, concise updates - not 40-page decks

Managed Compliance Service Details

Compliance Management Leadership

We can act as your Compliance Leads and Compliance Managers, fully managing compliance obligations under the applicable licensing requirements, laws, regulations, industry codes, and regulatory guidance

Second-Line Compliance Management

We offer a full range second-line compliance management services, including internal controls testing, assurance work across operational and regulatory risks, and managing issue-closure and control-testing programs

Supporting the Board in Strategic Compliance Management

Advising on the necessary compliance resourcing, budget, tools, role structuring, and compliance function, aligned with your business objectives, risk appetite, and regulatory expectations

Compliance Project Management

Effectively coordinating between senior management, committees, legal advisers, risk and compliance functions, outsourced providers, and different departments, including product development, technology, customer support, operations, assurance, marketing, and others, to help you successfully implement compliance projects across the business

Customised Governance Solutions

Tailoring governance frameworks and mechanisms to fit your specific governance structure and effectively comply with regulations and other applicable obligations

Whether your business is locally oriented, a start-up, undergoing expansion, part of a multinational group, has a listed parent company or is undergoing restructuring, we tailor the oversight of compliance management to your business case

Supporting the Board in Strategic Compliance Management

Reporting to the board, committees, shareholders, regulators and other stakeholders

Providing management and the board with comprehensive compliance reports that cover your compliance with compliance obligations, regulatory development summary, compliance-related data and statistics and internal controls testing outcomes

Covering the status of your specific compliance-related projects and compliance goals, relevant compliance KPIs, and more

Compliance Calendar Implementation

We design and implement compliance management programs and calendars, covering such areas of compliance obligations as policy and key document reviews, control testing, risk assessment and reviews, vendor reviewers, user system access reviews and assurance activities

Managing Customer Onboarding and Due Diligence

Implementing commercially oriented and compliant processes for KYC information collecting, Know Your Business (KYB), ML/TF risk assessment, PEP and Sanctions screening, CDD and EDD, especially for higher ML/TF risk clients, to help you balance AML/CFT compliance obligations with customer experience

AML Transaction Monitoring and Reporting

Developing and implementing a set of business-specific ML/TF alerts and red flags to detect and report suspicious transactions to comply with the AML requirements without making AML/CFT compliance a hindrance to business

Information Requests and AML/KYC Data Sharing

Managing requests from law enforcement, AML/CTF supervisors, banks, liquidity providers, and essential service partners - ensuring accurate, timely, and controlled information sharing

Compliance Support for Business Expansion

Supporting new product launches, geographic expansion, and new regulatory exposures. Identifying risks, implementing controls, and establishing practical tools and systems to manage new compliance obligations

Operational Compliance Management Solutions

On-the-Ground Compliance Support

Conducting compliance management meetings, organising routine and ad hoc compliance reporting, overseeing mitigations and controls testing, leading adjustments and enhancements to your internal controls and protocols when required

Compliance Process and Operations Building

Developing effective and compliant procedures and processes to implement your policies, support your operations across different teams and mitigate operational, regulatory and other risks

Outsourced Providers Monitoring

Setting up initial due diligence and ongoing review frameworks for your outsourced providers to help you meet the required service standards for outsourcing under various compliance obligations and licensing requirements

Incident Management and Reporting

We can help you set up effective processes for incident reporting, escalations, and management at different levels of your business

Specialised Compliance Consulting Services

Detailed Regulatory Compliance Support

Covering risk and regulatory compliance management issues across the first, second, and third lines, as well as matters related to effective compliance with financial markets regulations and financial licensing requirements

Banking Relationships Support

On risk and compliance issues related to managing and expanding relationships with banks, liquidity providers, and other financial institutions to help you meet their risk appetite requirements, anti-money laundering and counter-terrorist financing requirements, fraud prevention and recall volume expectations, and other compliance-related and operational standards

Operational AML/CFT Compliance Support

Advising support, onboarding, KYC, operating and other teams on the day-to-day onboarding and support queue management, effective AML/CFT resource allocation, and operational improvements, helping you maintain the overall customer experience and efficiency while remaining compliant with the applicable AML/CFT requirements

Operational Compliance Support

Advising compliance, management, technology, support and other teams on the day-to-day compliance with applicable regulations, focusing on internal processes and critical internal controls for effective compliance management

Compliance Framework Support

To help you create or enhance your compliance management framework, identify gaps and areas of improvement, meet your compliance obligations effectively, improve internal governance and reporting, and optimise them for market expansion and growth

Financial Licensing Advice

We can guide you through the licensing process, help you apply regulations to your specific circumstances and business environment, and meet the applicable licensing requirements to become licensed or maintain it

Peer Benchmarking and Best Practices

We can help you benchmark your compliance practices against peers and applicable regulatory compliance guidance, identify areas for improvement and adopt best practices for enhanced compliance

Government Agencies Liaison Advice

We provide strategic guidance to senior management and compliance teams on maintaining and managing relationships with external bodies, including regulators, AML/CTF supervisors and law enforcement agencies, focusing on long-term compliance strategies and proactive engagement

Specific Compliance Issues

We can help you resolve specific risk or compliance issues related to the applicable regulations and compliance obligations, including but not limited to external audits and reviews, reporting, oversight, difficult clients or transactions, expansion challenges, compliance management issues, process optimisation, and other regulatory challenges you may encounter

Our Compliance Consulting Services cover all key Jurisdictions

Regulatory Compliance Services in Australia

AFSL Licensing Regime

ACL Licensing Regime

Regulatory Compliance Services under the Corporations Act

APRA's rules, and regulatory guidance.

AML/CTF Regime

Regulatory Compliance Services in the United Kingdom

FCA Authorisation Regime

PRA Authorisation Regime

Compliance Support under FSMA 2000

FCA Handbook regulatory requirements

UK AML/CFT Regime (MLRs 2017, POCA 2002, SAMLA 2018)

Regulatory Compliance Services in Singapore

Capital Markets Services (CMS) Licensing Regime

Payment Services Act (PSA) Licensing Regime

Singapore AML/CFT Regime (CDSA & MAS AML Notices)

Financial Services and Markets Act (FSMA) 2022

Regulatory Compliance Services in New Zealand

FMA Licensing Regime under the FMCA

Financial Service Providers (Registration) Regime

FMCA Regulatory Requirements

New Zealand AML/CFT Regime (DIA , FMA , RZBN)

Regulatory Compliance Services in the United States

State-level licensing regimes

SEC Regulatory Framework

CFTC Regulatory Framework

FINRA Rulebook

US AML Regime (BSA, AMLA 2020, FinCEN Rules)

Compliance Support in Offshore Jurisdictions and Tax Havens

Cayman Islands | Bermuda | Curacao

Gibraltar | Belize | Vanuatu

Seychelles | Malta | Bahamas

Jersey | Guernsey | Isle of Man

Compliance Assurance and Risk Management

Compliance Assurance Programs

We design and implement your compliance assurance program to maintain enhanced oversight of your compliance with the applicable regulations and your internal compliance and risk appetite thresholds

Assurance Testing

Evaluation of the overall effectiveness of your internal controls and regulatory compliance monitoring program against your desired assurance level

Identification of any deficiencies root cause analysis and recommendations for corrective actions

Organisation-Wide Risk Assessments

Covering the specific risks faced by your business, available mitigations, controls, their effectiveness, residual risk ratings and other relevant criteria

Internal Controls Design

Helping you develop internal controls for various risk types and regulatory compliance obligations faced by your business

Regulatory Inspection Readiness

Enhancing your Key Protocols and Internal Controls

Identifying any missing information and weak points

Interview Preparation

Risk Management Support

Covering risk rating and methodologies, risk assessments, management, and mitigation for various risk types faced by your business, including regulatory, ML/TF, fraud, data protection, and operational risks

AML/CFT COMPLIANCE MANAGEMENT SOLUTIONS

We know AML/CFT inside out

From building AML/CFT controls for startups to managing AML/CFT compliance in high-risk businesses with hundreds of thousands of active customers and millions of customers on their balance sheet

Comprehensive experience in dealing with AML/CFT supervisors in all key jurisdictions from registration to helping them with remediation

Managing AML/CFT compliance businesses with high-risk customer bases and complicated transaction flows

Automating key AML/CFT processes where it matters, delivering staff training, and tailoring AML/CFT compliance to your business goals

AML/CFT Risk Assessments

BSA/AML/CFT Programs

AML/CFT Training Solutions

AML/CFT Compliance Consulting Service

Managed AML/CFT Compliance Service

AML/CFT Inspection Preparation

AML/CFT Audit Service

AML/CFT Review Australia

UK AML/CFT Audit

New Zealand AML/CFT Audit

Specialised Regulatory Compliance Services

Fraud Prevention Solutions

Customer Onboarding Solutions

Compliance Monitoring Programs

Compliance Management Frameworks

Compliance Training Solutions

Vendor Compliance Management Solutions

Financial Licensing Solutions

We help businesses obtain financial licences and regulatory authorisations in Australia, the UK, Singapore, the USA, New Zealand, and popular offshore centers

We handle pre-licensing assessments, prepare the full application package, manage regulator interactions throughout the approval process, and provide post-licensing compliance support and advisory once authorised

AFSL Licensing Solutions

ACL Licensing Solutions

FCA Authorisation Solutions

FMA Licensing Solutions

CMS Licensing Solutions

MAS Licensing Solutions

LFMC │ RFMC │ CMS │ FA │PSA

Compliance Remediation Solutions

Compliance Remediation Advice

Our regulatory compliance service covers rectification of compliance issues, from minor breaches to significant regulatory challenges, including warnings and action plans

Remediation Plan Development

We support financial institutions and regulated businesses in devising a detailed plan outlining these actions for submission to your regulator or an AML/CFT supervisor, ensuring the plan is both actionable and compliant with regulatory expectations

Remediation Plan Commitment

Executing remediation plans and preventing recurrence of non-compliance are key parts of this regulatory compliance service

Executive Attestation Support

Our compliance management solutions cover supporting senior executives in preparing the required attestations to their regulator

This involves confirming that all necessary remedial actions have been undertaken, and that adequate compliance measures are in place, supported by comprehensive documentation and evidence

Internal And External Reporting Support

Internal Quality Assurance Reporting

While second-line control testing is crucial for complying with financial laws, regulations and licensing requirements, first-line quality assurance results are equally important for effective risk and compliance management

As part of our regulatory compliance service, we help to organise effective reporting lines, tailor reporting content to your specific circumstances, products, and team size, and establish a structured approach to responding to reporting outcomes

Board and Committee Reporting

Commercially oriented and protective reporting is one of the keys to successful compliance management solutions

We focus on facilitating structured reporting workflows for various committees and board delegates, including risk, compliance, and audit committees, focusing on your current compliance status, any deviations from your risk appetite, changes in risk ratings, and operational compliance updates, to ensure that governance structures are well-informed and aligned with compliance management practices

Compliance Performance Metrics

We focus on developing and presenting comprehensive compliance performance metrics to the board or relevant committees, offering insights into your compliance effectiveness and identifying points for improvement in key compliance areas, including compliance training, fraud prevention, compliance monitoring, risk rating and assessment, controls effectiveness, adherence to your compliance calendar, regulatory technology (RegTech) performance, and more

Internal Audit Reporting

We can help you improve the effectiveness of internal audit so that its findings reflect your actual performance against applicable compliance obligations. Our regulatory compliance services include developing tailored methodologies for auditors, preparing the necessary audit evidence, and reviewing audit results

The goal of the compliance support here is to ensure that audit procedures and outcomes directly contribute to maintaining and enhancing your compliance status and internal controls effectiveness

AML/CFT Reporting

We help with the implementation of effective AML/CFT reporting processes, aligning with specific anti-money laundering regulations for internal oversight and prompt escalation of critical AML issues within your business to help the management receive a clear overview of your AML/CFT compliance status

Transactional Reporting

Our compliance management solutions cover the implementation of effective transactional reporting procedures to help with your reporting obligations under various financial laws and regulations, AML/CFT compliance requirements, specific reportable matters under the licensing requirements, and other externally reportable transactions and activities