Effective Corporate Governance Solutions for financial institutions and regulated businesses | Compliance governance development and implementation, including corporate governance solutions for small businesses, start-ups, high risk corporates and fintech sector.We offer a comprehensive set of corporate governance solutions tailored to your specific circumstances, including:

  • Your business goals
  • Products you offer
  • The size of your business
  • The available resources, including human resources and technology
  • Your risk appetite
  • Your governance structure
  • Client demographics
  • Your countries of operation, their applicable laws, regulations and licensing requirements
  • Operational requirements, including:
  • Effective reporting at different levels
  • Escalation pathways
  • Board and committee structuring
  • Clear oversight and ongoing governance monitoring
  • Effective risk management
  • Stakeholder engagement
  • Role clarity and responsibility distribution
  • Regulatory alignment and licensing support

 

 

 

Our solutions cover:

  • Governance Framework Design: Developing governance frameworks, including governance charters, board and committee terms of reference, escalation protocols, and accountability structures.
  • Governance Framework Enhancements: Updating and improving governance frameworks based on identified gaps, changes in regulations, organisational growth, and operational improvements.
  • Governance Training: Delivering training programs for directors, leadership teams, and committee members to enhance their understanding of governance roles and responsibilities.
  • Governance Technology Integration: Assisting with the selection, integration, and testing of digital governance tools, including reporting dashboards, document management systems, risk and compliance management platforms.
  • Governance Program Implementation: Leading and coordinating the rollout of governance frameworks, managing milestones, and aligning deliverables with compliance and risk management objectives.

 

Our focus areas include:

  • Alignment with best practice standards
  • Policy drafting and revision
  • Board and committee structuring
  • Governance gap analysis and remediation
  • Training and capacity building
    Governance technology and reporting tools
  • Compliance assurance and verification
  • Suspicious activity oversight
  • Board-level awareness and accountability
  • Governance with AML/CFT requirements
  • Prudential governance controls
  • Enhanced regulatory reporting
  • Sound risk management structures
  • Stakeholder engagement strategies
  • Governance charters and protocols
  • Performance measurement and KPIs
  • Governance training and education
  • Document management and recordkeeping
  • Conflict of interest management
  • Board suitability assessments
  • Executive accountability structures
  • Transparent decision-making processes
  • Comprehensive governance assessments
  • Escalation and remediation protocols

 

Services Coverage

Comprehensive Corporate Governance Solutions tailored to your specific commercial targets, markets of operation, and legal, compliance, and business requirements. We offer corporate governance solutions to various entities subject to governance, compliance, and risk management obligations, including but not limited to:

  • Publicly listed companies
  • Private companies
  • Non-profit organisations
  • Financial institutions
  • Startups and scale-ups
  • Family-owned businesses
  • Regulated entities under financial licensing regimes, financial service providers, and reporting entities subject to anti-money laundering and counter-terrorist financing regulation, including but not limited to:
  • Investment bankers
  • Investment firms
  • Fund managers
  • Brokers, including forex brokers
  • Fintech companies
  • Non-bank deposit takers
  • Non-bank lenders
  • Online casinos and gambling platforms
  • E-money issuers
  • Money remitters and money transmitters
  • Payment gateway providers
  • Currency exchange providers
  • Derivatives issuers and platforms
  • Neo-banks
  • P2P lending platforms
  • Crowdfunding services and platforms
  • Financial advisers
  • Investment advisers
  • Financial planning specialists
  • Wealth managers
  • Custodial or depository service providers
  • Licensed trustees
  • Consumer credit providers
  • Building societies
  • Savings and loan associations
  • Credit unions
  • Corporate finance providers
  • Finance Companies

 

Jurisdictional Coverage of our Fraud Prevention Solutions

Our countries of focus for this service include, but are not limited to:

  • Australia
  • United Kingdom
  • United States
  • Singapore
  • European Union
  • New Zealand
  • Prominent formation centres, including:
  • Belize
  • British Virgin Islands
  • Cayman Islands
  • Dubai
  • Bermuda
  • Panama
  • Jersey
  • Malta
  • Mauritius
  • Seychelles
  • Vanuatu

 

Corporate Governance Solutions for Small Business Startups

Getting corporate governance right from the get-go is important as your business grows and management becomes less involved in daily operations.

Our solutions for small businesses and startups focus on establishing foundational corporate governance practices that align with risk management, regulatory compliance requirements, and industry standards, allowing adjustment for future growth without this area of compliance becoming an obstacle to business growth.

Our services include:

  • scalable governance frameworks
  • lean policy structures
  • foundational compliance programs
  • simplified reporting mechanisms while maintaining compliance
  • streamlined board processes
  • effective escalation processes to help management recognise issues in a timely manner and provide hands-on guidance and support to staff when it really matters

 

Corporate Governance Solutions for Company Groups

Knowing what is going on across different product lines and jurisdictions on the ground is essential to decision-making, timely adjustments in operational and risk management, and efficient governance. We focus on:

  • Group-wide governance standardisation and cross-jurisdictional alignment to support consolidated board oversight
  • Equipping management with multi-entity oversight tools
  • Effective reporting packs for the board and different committees
  • Centralised compliance frameworks with integrated reporting structures
  • Developing stakeholder communication channels that facilitate two-way information sharing and track decision implementation

 

Corporate Governance Solutions for High-risk Corporates

With years of experience supporting high-risk corporations in their corporate governance, we offer solutions designed to meet heightened scrutiny, higher standards, and expectations linked to your business size, available resources, and other key factors. Our focus includes, but is not limited to:

  • In-depth risk and compliance calendars and checklists aligned to business complexity and regulatory obligations
  • Custom dashboards for senior management and board committees linked to governance, risk, and compliance programs
  • Effective reporting on the status of risk and compliance activities
  • Environmental, social, and governance (ESG) oversight
  • Tailored governance models for multi-entity structures
  • Performance evaluations to assess boards, leadership teams, and committees on strategy, risk, and compliance oversight
  • Real-time data insights integrated into governance dashboards
  • Crisis management protocols embedded within governance structures
  • Regulatory updates tailored to operations and jurisdictions
  • Structured governance frameworks ensuring board accountability
  • Strategic risk oversight and mitigation
  • Scenario planning and stress testing

 

Corporate Governance Solutions Design

We focus on the effectiveness and efficiency of your corporate governance so that it is fit for purpose in your circumstances, helping you align your corporate finance with your business strategy, objectives, and resources. Our areas of focus include:

  • Governance Framework Development: Creating governance structures that are adaptable and aligned with organisational goals.
  • Policy and Procedure Oversight: Ensuring policies and procedures are effectively implemented, monitored, and updated.
  • Internal Reporting Structures: Designing efficient reporting mechanisms across all management levels.
  • Election Processes: Streamlining processes for board and committee member elections to ensure transparency and accountability.
  • Internal Controls Testing and Oversight: Overseeing the testing of internal controls and addressing outcomes effectively.
  • Risk Appetite Implementation: Translating risk appetite statements into actionable frameworks and decision-making protocols across the organisation.
  • Risk Management and Compliance Plans Implementation: Aligning governance with organisational risk and compliance objectives.
  • Role Definition and Delegation: Defining clear roles and delegating responsibilities effectively within the organisation.
  • KPI Establishment and Monitoring: Setting measurable performance indicators tied to governance objectives.
  • Documentation and Recordkeeping Systems: Implementing systems that ensure compliance and traceability in decision-making.
  • Implementation Roadmaps: Providing clear, actionable plans for rolling out governance improvements.
  • Stakeholder Engagement Mechanisms: Developing frameworks for communicating with investors, regulators, and other stakeholders.
  • Board Structure and Accountability: Defining board responsibilities and accountability mechanisms to strengthen leadership.
  • Crisis Management Governance: Incorporating strategies for decision-making during crises to maintain governance integrity.
  • Board Delegates: Helping to set up different committees for effective governance delegation, including board committees, as well as risk, audit, and compliance committees, etc.

 

Corporate Governance Solutions and Reg-Tech

Our focus areas for this service include:

  • Needs Assessment
  • Technology selection: Tailored to your budget, operations, and compliance obligations
  • Implementation and customisation assistance: Governance technology integration assistance across the business
  • Testing: Assisting with testing to validate functionality, usability, and integration with operational, risk management, and compliance structures
  • Internal Documentation Alignment: Streamlining internal documentation, including policies, procedures, workflows, and process maps, to accommodate the technology selection
  • Governance technology integration
  • Digital oversight tools
  • Automated reporting solutions
  • Analytics and data-driven insights

 

 

Corporate Governance Solutions Implementation

We assist businesses with governance process rollout by:

  • Collaborating with the board and management functions to establish effective communication protocols at different levels to allow efficient board and committee briefings. This also includes streamlining reporting and escalation protocols between management and governance bodies
  • Supporting teams across various departments in understanding and executing their reporting-related responsibilities
  • Engaging with management on implementation progress and addressing required adjustments
  • Providing support for the governance onboarding process for new leaders or committee members
  • Integrating digital governance tools for real-time tracking, reporting, and decision-making (see the Reg-Tech section above for more information)
  • Helping the business set up necessary compliance committees and functions to oversee compliance across the business
  • Establishing governance performance metrics to measure the effectiveness of implemented structures
  • Setting up risk, governance, and compliance monitoring calendars and checklists
  • Drafting necessary supporting documentation, including manuals, guidelines, procedures, and protocols
  • Developing internal controls throughout the business, helping to back up documents with real control points
  • Developing risk assessment methodologies and control testing methodologies aligned with your risk rating
  • Developing effective reporting processes for management to determine whether compliance risks are managed in accordance with your risk appetite and risk statement, including reporting on control testing, their effectiveness, gaps, etc

 

Corporate Governance Solutions Enhancement

We offer corporate governance enhancements to increase its overall effectiveness, reflecting on:

  • New compliance requirements, changes to the existing regulatory regime, and adaptations to regulatory compliance guidance
  • Business growth and expansion
  • Changes in risk ratings, risk appetite, emerging risks integration, changes in risk profiles
  • Auditors' and regulators' findings, including identified deficiencies and breaches
  • Internally identified areas of improvement and gaps
  • Periodic framework review results
  • Technology-driven enhancements
  • Introduction of new products
  • Governance maturity assessments
  • Best practice benchmarking
  • Other triggering events