Regulatory clarity for financial services
Compliance and licensing expertise built for fast-moving financial firms
We help brokers, fintechs, and virtual asset firms navigate regulators, secure licenses, and operate with audit-ready governance. Expect pragmatic guidance, credible documentation, and operational controls that keep growth on track.
Supporting regulated financial services firms across UAE, UK, and EU regulatory frameworks.
- 30-minute structured session
- No obligation
- Response within 1 business day
What we solve
Regulatory readiness without the operational drag
We focus on outcomes that regulators and boards care about: credible governance, clear evidence, and controls that work in production.
Licensing strategy
Feasibility, regulator mapping, and submission packs that reduce delays and back-and-forth.
Compliance programs
AML, conduct, and reporting frameworks aligned to your license obligations.
Operational oversight
Risk, internal audit, and control testing built for scale and audit defensibility.
What partners expect
Evidence-led advisory with regulator alignment
Clear documentation, realistic timelines, and controls that hold up under scrutiny. Our multi-disciplinary advisory team coordinates specialist inputs across jurisdictions under senior leadership.
Audit-ready evidence
Documentation and evidence trails built for inspections and board review.
Regulator-aligned controls
Policies and workflows mapped to published guidance and license obligations.
Clear scope and cadence
Defined milestones, ownership, and reporting for predictable delivery.
Services
Specialist advisory across the full regulatory lifecycle
From first-time licensing to mature compliance transformations.
Legal Advisory & Regulatory Compliance
We translate regulator expectations into clear policies, control ownership, and reporting routines that teams can execute and defend.
AML/CFT Program Design
Risk-based AML frameworks, monitoring standards, and escalation playbooks built for regulatory scrutiny and operational efficiency.
Licensing Strategy & Compliance
From pre-application readiness to regulator interviews, we align governance, capital, and operational requirements to secure and maintain licenses.
Risk Management & Internal Audit
Independent assurance that governance, controls, and reporting stand up to regulator and board scrutiny.
Our approach
Structured advisory built for regulatory scrutiny
We translate regulatory expectations into operating controls and evidence packs your teams can run.
Regulatory interpretation
Requirements mapping and regulator-ready documentation.
Operational alignment
Workflows, roles, governance, and control ownership.
Control architecture
AML/CFT, monitoring, audit readiness, and assurance testing.
Evidence & defensibility
Evidence trails, reporting routines, and review cadence.
Cross-border expertise
Regulatory coordination across UAE and EU markets
We align multi-jurisdiction requirements into a single operating model so governance, evidence, and reporting remain consistent.
- License mapping across UAE free zones and EU regulatory regimes
- Multi-entity governance and oversight alignment
- Evidence packs designed for both local and group regulators
- Sequenced rollout plans to reduce regulatory friction
Proof
Case studies and delivery outcomes
Anonymized examples that reflect real regulatory execution.
Multi-entity brokerage remediation
- A broker group with three regulated entities faced recurring regulator findings and inconsistent reporting.
- We unified the compliance framework, standardized reporting, and trained control owners across regions.
- Regulator findings reduced materially and audit cycles shortened through consistent evidence capture.
Crypto exchange VASP licensing
- A regional exchange required a clear roadmap to secure a VASP license while maintaining growth momentum.
- We built the AML framework, governance documentation, and submission pack with regulator-ready evidence.
- The application progressed within expected review cycles with stronger regulator confidence.
Impact
Credible outcomes, risk-aware delivery
We focus on defensible improvements rather than optimistic claims.
Material reduction
In audit remediation cycles through consistent evidence capture
Multiple jurisdictions
Supported across licensing and compliance programs
Typical 4-8 weeks
Compliance uplift delivery window (scope dependent)
Illustrative outcomes vary by scope, jurisdiction, and regulator feedback.
How we work
A clear, five-step delivery path
Structured execution that prioritizes clarity, ownership, and regulator-ready evidence.
Step 1: Define scope
Confirm licensing perimeter, regulator expectations, and operating model.
Step 2: Assess gaps
Identify control, documentation, and evidence shortfalls.
Step 3: Design controls
Build policies, workflows, and reporting aligned to guidance.
Step 4: Embed delivery
Assign ownership, train teams, and operationalize routines.
Step 5: Validate readiness
Test evidence trails and prepare for regulator review.
Jurisdictions
Regulatory bases we support
Compare fit, timelines, and obligations across key markets.
Industries
Built for complex financial services models
We understand the operational realities behind brokerages, prop trading firms, and fintech platforms.
Forex Brokers
Compliance programs, execution oversight, and licensing support tailored to multi-entity brokerage groups.
Prop Trading Firms
Risk, governance, and licensing readiness for prop firms scaling into regulated markets.
Cryptocurrency Exchanges
Regulatory alignment for virtual asset service providers across licensing, AML, custody controls, and reporting.
Fintech Companies
From licensing strategy to operational controls, we help fintechs scale without compliance surprises.
Lead magnet
Compliance Checklist
Use this checklist to assess whether your controls are ready for regulator scrutiny.
A concise, regulator-focused checklist to align AML, onboarding, and monitoring controls.
Download the Compliance ChecklistNext step
Book a strategy call with our senior leads
We will review your regulatory requirements, map the right jurisdiction, and define a clear implementation plan.
- 30-minute structured session
- No obligation
- Response within 1 business day