Compliance, Risk and

Regulatory

Our goal is to provide practical, actionable insight into the changing regulatory environment and specifically how it affects your business lines, processes and systems.

Services

  • Provide outsourced compliance solutions on a recurring and/or discrete project basis.
  • Develop organisation specific standardised compliance taxonomies.
  • Ensure on-shore and off-shore fund compliance where applicable.
  • Perform compliance controls, procedures and relevancy review.
  • Supply compliance advisory around investments, CTAs, IBs and FCMs.
  • Manage FINRA-registered broker-dealer compliance.

Strategy

  • Law firms.
  • M&A firms.
  • Private equity firms.
  • Public Accounting firms.

Regulations

  • Basel 1, 2, 2.5 and 3.
  • Dodd Frank
  • Volcker
  • Title 2 & 3
  • FRTB
  • MiFD2

Compliance

  • Know Your Customer and onboarding.
  • Anti-Money Laundering.
  • Trade Surveillance.