Service
Brokerage setup and technology advisory
Operating model, vendor due diligence, and control design for brokerages preparing to launch or scale.
Who it is for
Who this service is designed for
We tailor scope and evidence requirements to your operating model and license mix.
- Founders launching a new brokerage or CFD platform
- Groups migrating from offshore to onshore structures
- Teams redesigning execution, risk, or reporting stacks
Scope of engagement
Scope of engagement
Typical inclusions that define the engagement perimeter.
- Operating model and governance design
- Vendor evaluation and control due diligence
- Execution, client money, and monitoring control mapping
- Go-live readiness and evidence planning
Typical deliverables
Typical deliverables
Concrete outputs mapped to regulator expectations.
Target operating model
Governance, control ownership, and execution workflow design.
Vendor due diligence pack
Selection criteria, risk assessment, and SLA requirements.
Control design map
Execution oversight, client money controls, and monitoring routines.
Go-live readiness checklist
Evidence and operational readiness criteria.
Engagement timeline
Engagement timeline
Indicative ranges based on complexity and jurisdiction.
Client responsibilities
Client responsibilities
Inputs and collaboration required for efficient delivery.
- Provide product scope and execution model preferences
- Share vendor options and access for due diligence
- Assign internal owners for technology and compliance decisions
- Review and approve operating model documentation
What success looks like
What success looks like
Conservative outcomes we aim to achieve with your team.
- Operating model aligned to regulatory expectations
- Vendor risk and controls documented
- Go-live checklist ready with evidence requirements
- Clear ownership of compliance and operational controls
Process
How we deliver
A structured approach that balances speed, regulator expectations, and operational realities.
Model definition
Define the execution model, client segmentation, and governance requirements.
Vendor selection
Assess technology vendors, review controls, and align SLAs to compliance needs.
Readiness build
Document controls, reporting, and evidence routines before launch.
Regulatory outcomes depend on evidence and regulator review
We focus on defensible documentation and controls, but regulators determine outcomes.
We advise on operating model and control design, but technology performance and regulator review remain outside our control.
Case study
Related execution example
An anonymized engagement that reflects the scope and outcomes for this service.
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.
Related insights
Insights tied to this service
Relevant guidance and practical playbooks for this service area.
Best Execution Evidence for Multi-Entity Brokerages
How to build a defensible execution record without slowing trade operations.
Building a Regulator-Ready Licensing Pack
Avoid delays by aligning governance, capital, and operational evidence before submission.
Internal Audit Playbook for Regulated Firms
A lightweight audit approach that surfaces control gaps before regulators do.
FAQ
Service questions
If you need a tailored scope, we can walk through the details.
Can you help with vendor selection and due diligence?
Yes. We define selection criteria, review controls, and assess vendor risk posture.
Do you support execution and best execution oversight?
We define oversight routines, evidence requirements, and reporting dashboards.
How early should we start compliance work?
Ideally before vendor selection so control requirements are built into the stack.
Next step
Scope a tailored compliance program
Book a call to discuss jurisdiction priorities, timelines, and evidence requirements.