Compliance, Conduct, and Regulatory Risk
This is not optional
FI Licence Application
Applying for a financial institution (FI) license can be a complex and time-consuming process. Our team will guide you through the application process, providing support and guidance on all aspects of the application, including the development of business plans, risk assessments, and compliance with regulatory requirements. In addition, we can assist you in your discussions/interviews with regulators regarding your application.
Our Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) services help financial institutions and other regulated businesses comply with regulations and mitigate the risk of financial crime. Our team of specialists will work with you to implement effective AML/CFT policies and procedures, conduct risk assessments, and provide ongoing support and training to ensure compliance.
Our Conduct Risk services help financial institutions and other regulated businesses identify, assess, and manage the risks associated with the conduct of their employees and agents in the context of their business activities. We'll work with you to understand your unique business needs and develop a customized risk management strategy, including the implementation of policies and procedures, training programs, and ongoing support.
Data protection is more important than ever in today's digital age. Our team of experts can help you navigate complex data protection regulations and implement best practices to ensure that your business is compliant, and your data is secure. We offer a range of services, including data protection impact assessments, policy development, and training programs.
Sanctions compliance is essential for businesses operating in the financial sector and other regulated industries. Our team of specialists can help you understand and comply with complex sanctions regulations, including the implementation of policies and procedures, risk assessments, and training programs.
Effective systems governance is critical for ensuring the security and reliability of your business operations. Our specialists can help you implement best practices for systems governance, including the development of policies and procedures, risk assessments, and ongoing support and training.