Our Product Specialism
Fund & Asset Managers.
Venture Capital Managers.
Licensed & Registered Fund Managers.
External Fund Managers.
Principal Investors/ Co-Investment.
Digital Advisory/ Wealth Platforms.
Margin Trading / FX brokers.
Sharia compliant & conventional finance.
We provide a single-source solution to clients who require global access, our regulatory licensing services cover international jurisdictions including:
- Dubai Financial Services Authority (DFSA) – Dubai International Financial Centre (‘DIFC’).
- Financial Services Regulatory Authority (FSRA) – Abu Dhabi Global Market (‘ADGM’).
- Financial Conduct Authority (FCA) – United Kingdom.
- Monetary Authority Singapore (MAS) – Singapore.
- Securities Exchange Commission (SEC) – United States of America.
- Regulatory business plan development.
- Identification of applicable regulatory permissions and framework to support the proposed business activities.
- Assistance in preparing the financial projections for regulatory capital requirements.
- Identification of the applicable risks commensurate with the business model.
- Regulatory application documents.
- Compliance Policies & Procedures.
- Interface and support with the regulatory agencies.
We can undertake the regulatory application process and incorporation support for funds that are established in regulated jurisdictions.
- Regulatory advisory on fund domicile.
- Fund applications.
- Intermediate GP applications.
- Investor/ Investment DD.
- SPV Formation.
- Client Assets Compliance.
- Fund Service Provider DD.
Cross Border Advisory:
We can provide regulatory advisory support on various matters, including:
- Global compliance policies and procedures.
- Cross-jurisdiction compliance support.
- Cross-jurisdiction licensing.
We provide a range of outsourced regulatory functions which feed into the management reporting framework of regulated companies for effective compliance and governance risk management.
- Compliance Officer.
- MLRO/AML Officer.
- Finance Officer.
- Regulatory Risk Officer.
Our tailored compliance services help our clients adapt to the ever-changing regulatory environment:
- Financial Promotion/ Marketing compliance
- Placement services compliance
- Registration of funds for marketing (Recognised Jurisdiction/Overseas Equivalence regimes)
- Conduct of business compliance- suitability, best execution, PAD, client classification
- Investment Governance
- Training Services
- Compliance Monitoring and reviews
- Risk Monitoring frameworks and reviews
- Policies & Procedures
- Management Information/Governance Reporting for Compliance & Risk
- Regulatory risk assessment support
- ESG & Sustainability Compliance
Our compliance oversight services are structured to the clients requirements to fulfil their compliance obligations:
- Provide tailored compliance support for the internal compliance structure
- Local oversight services for global financial services operations
- Regulatory alerting services
- Compliance & Risk Management Reports
A tailored Compliance technology platform to enable a more focused and more responsive service allowing clients to gain quicker access to the markets:
- Automated reporting.
- Integrated data control.
- Streamlined risk assessments.
We provide AML and CTF services to a range of regulated institutions, fund, SPV’s, Designated Non-Financial Body Professionals in line with international standards, local FIU and National Risk Assessment (NRA) considerations:
- AML Reviews.
- AML Business Risk Assessment (BRA).
- AML Management Information Reports.
- AML Update Services.
- AML, CTF, Financial Crime Training.
- General due diligence services.
- Investor due diligence.
- Investment due diligence.
- Transaction due diligence services.
- Know your Customer (KYC).
- Know your Business Partner (KYB).
- UBO due diligence services.
- Cayman AML Regulation and Business Risk Advisory.
We provide specialised support to financial services business seeking to digitalise the delivery of financial services:
- Licensing for digital/Fintech businesses.
- Digital wealth management.
- Compliance & Risk framework for FINTECH business.
- AML Services for digital financial services.