Case Study

Multi-entity brokerage remediation

A broker group with three regulated entities faced recurring regulator findings and inconsistent reporting.

Situation

Initial situation

Context and objectives that framed the engagement.

A broker group with three regulated entities faced recurring regulator findings and inconsistent reporting.

Constraints

Operational and regulatory constraints that shaped delivery.

Limited internal compliance bandwidth and fragmented evidence across entities.

Approach

The sequence of work and evidence delivered.

We unified the compliance framework, standardized reporting, and trained control owners across regions.

Outcome

Results achieved after implementation.

Regulator findings reduced materially and audit cycles shortened through consistent evidence capture.

Industry and jurisdiction context for this engagement.

Industry

Forex Brokers

Jurisdiction

Cyprus

Next step

We can outline scope, timelines, and evidence requirements.