Service
Legal advisory and regulatory compliance services
We translate regulator expectations into clear policies, control ownership, and reporting routines that teams can execute and defend.
Who it is for
Who this service is designed for
We tailor scope and evidence requirements to your operating model and license mix.
- Licensed brokers and investment firms with evolving regulatory obligations
- Fintechs moving from startup controls to audit-ready governance
- Groups operating across multiple regulators and license categories
Scope of engagement
Scope of engagement
Typical inclusions that define the engagement perimeter.
- Regulatory perimeter review and obligation mapping
- Policy and procedure design aligned to regulator guidance
- Governance and reporting cadence definition
- Evidence routines for inspection and board reporting
Typical deliverables
Typical deliverables
Concrete outputs mapped to regulator expectations.
Regulatory obligations matrix
Mapped obligations by license, activity, and jurisdiction.
Policy and procedure suite
Tailored policies with control ownership and evidence requirements.
Compliance reporting pack
Board-ready dashboards and regulatory reporting templates.
Audit readiness playbook
Evidence capture routines and inspection preparation guidance.
Engagement timeline
Engagement timeline
Indicative ranges based on complexity and jurisdiction.
Client responsibilities
Client responsibilities
Inputs and collaboration required for efficient delivery.
- Provide current licenses, policies, and regulator correspondence
- Assign internal control owners for policy and reporting inputs
- Review and approve documentation in line with agreed timelines
- Support regulator liaison where required
What success looks like
What success looks like
Conservative outcomes we aim to achieve with your team.
- Clear mapping of obligations to policies and controls
- Governance cadence and reporting routines established
- Evidence packs ready for inspection and board review
- Reduced ambiguity in regulatory expectations across entities
Process
How we deliver
A structured approach that balances speed, regulator expectations, and operational realities.
Baseline assessment
Review licenses, circulars, and existing controls to identify compliance gaps and regulator priorities.
Control design
Translate requirements into policies, workflows, and reporting cadences aligned to regulator expectations.
Operational embed
Help teams implement controls, define ownership, and establish ongoing evidence routines.
Regulatory outcomes depend on evidence and regulator review
We focus on defensible documentation and controls, but regulators determine outcomes.
We align your compliance framework to published regulator guidance, but approvals, supervisory outcomes, and enforcement decisions remain at the regulator's discretion.
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.
Fintech Companies
From licensing strategy to operational controls, we help fintechs scale without compliance surprises.
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.
FATCA/CRS Data Readiness Checklist
Reduce remediation by aligning onboarding data to reporting rules early.
When to Use Outsourced Compliance and MLRO Support
A practical view on outsourced oversight without losing regulatory credibility.
AML Readiness Playbook for High-Growth Brokers
A practical framework to align onboarding, monitoring, and escalation without slowing client acquisition.
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.
Do you provide ongoing compliance support after the initial build?
Yes. We can transition into ongoing oversight with agreed reporting cadence, control testing, and governance support.
How long does a compliance uplift typically take?
Most engagements run 6 to 10 weeks depending on the number of jurisdictions and control complexity.
Will the work align to our specific regulator?
We map each control to the relevant regulator guidance and maintain an evidence trail for inspections.
Next step
Scope a tailored compliance program
Book a call to discuss jurisdiction priorities, timelines, and evidence requirements.