Industry

Regulatory advisory for forex brokers

Compliance programs, execution oversight, and licensing support tailored to multi-entity brokerage groups.

Industry risks

Key regulatory and operational risks

Common exposures regulators focus on for this industry.

Relevant services

Aligned services tailored to your operating model.

We translate regulator expectations into clear policies, control ownership, and reporting routines that teams can execute and defend.

Risk-based AML frameworks, monitoring standards, and escalation playbooks built for regulatory scrutiny and operational efficiency.

Operating model, vendor due diligence, and control design for brokerages preparing to launch or scale.

Independent assurance that governance, controls, and reporting stand up to regulator and board scrutiny.

Operating model

Decisions that shape regulatory expectations and control design.

Define execution oversight and evidence routines aligned to regulator expectations
Standardize compliance ownership across entities with clear reporting lines
Align monitoring thresholds, escalation procedures, and audit trails

Relevant jurisdictions

Case study

An anonymized engagement relevant to this industry.

Situation: A broker group with three regulated entities faced recurring regulator findings and inconsistent reporting.
Approach: We unified the compliance framework, standardized reporting, and trained control owners across regions.
Outcome: Regulator findings reduced materially and audit cycles shortened through consistent evidence capture.

FAQ

Answers to common questions for this industry.

Do you support best execution governance?

Yes. We document oversight routines, evidence requirements, and reporting dashboards.

Can you help with multi-entity compliance reporting?

We standardize control ownership and reporting so group-level governance stays consistent.

Do you work with both offshore and onshore entities?

Yes. We align the control framework to each regulator while maintaining a unified operating model.

Need industry-specific advisory?

We will map the right licensing path and operational controls for your industry.