Corporate Governance & Regulatory Compliance Advisory
Governance design, internal control frameworks and supervisory readiness for regulated financial institutions and growth-stage financial businesses.
Governance design, internal control frameworks and supervisory readiness for regulated financial institutions and growth-stage financial businesses.
We map the legal entity, its regulatory perimeter and management structure, and set out clear accountability and lines of responsibility.
We clarify oversight, decision rights, committees and delegated functions, and how management reporting is documented.
We develop or review compliance manuals, conflicts of interest policies, risk controls, internal reporting and governance documentation.
We support fit-and-proper preparation for directors and key function holders, role descriptions, governance evidence and documents for the regulator.
We help keep policies current, track regulatory change, meet reporting responsibilities and prepare for supervisory reviews.
We provide C-level and other must-have functions on an outsourced basis, such as compliance roles, so that the required functions are in place within the firm.
Tell us the type of institution, the jurisdiction you are considering and the activities you intend to carry out. Your enquiry goes directly to the principal.
Discuss your regulatory matter