Industry
Regulatory advisory for fintech companies
From licensing strategy to operational controls, we help fintechs scale without compliance surprises.
Industry risks
Key regulatory and operational risks
Common exposures regulators focus on for this industry.
- Incorrect license selection across markets or product lines
- Vendor and data governance weaknesses as scale increases
- Compliance controls that lag product launches
Relevant services
Recommended services
Aligned services tailored to your operating model.
Licensing Strategy & Compliance
From pre-application readiness to regulator interviews, we align governance, capital, and operational requirements to secure and maintain licenses.
Legal Advisory & Regulatory Compliance
We translate regulator expectations into clear policies, control ownership, and reporting routines that teams can execute and defend.
Outsourced Compliance & MLRO
Ongoing compliance oversight, reporting, and MLRO support for firms that need experienced coverage without building a full internal team.
Operating model
Operating model considerations
Decisions that shape regulatory expectations and control design.
- Build phased licensing roadmaps aligned to product rollout
- Embed compliance checkpoints in product delivery and vendor governance
- Document data governance, outsourcing oversight, and reporting routines
Case study
Related execution example
An anonymized engagement relevant to this industry.
Fintech GCC expansion
- A fintech entering the GCC required a licensing and operational plan with tight timelines.
- We delivered jurisdiction analysis, a licensing plan, and an operational readiness blueprint.
- Market entry proceeded on schedule with a compliant operating setup and clear governance ownership.
FATCA/CRS reporting stabilisation
- A wealth platform struggled with incomplete self-certifications and late submissions across two entities.
- We re-classified account holders, updated onboarding documentation, and built a QA reporting workflow.
- On-time filings with fewer data errors and improved audit readiness.
FAQ
Industry questions
Answers to common questions for this industry.
Can you help us choose the right license for a new product?
We map features to regulatory categories and advise on licensing options.
Do you work with early-stage fintechs?
Yes. We build pragmatic frameworks that evolve as the business scales.
Can you integrate compliance into product delivery?
We define checkpoints and evidence requirements that fit agile delivery.
Need industry-specific advisory?
Align your model with regulator expectations
We will map the right licensing path and operational controls for your industry.