Compliance Guardian
PRACTICAL COMPLIANCE MANAGEMENT SOLUTIONS We offer effective, no-nonsense compliance management solutions built around your operating reality, not generic templ...
PRACTICAL COMPLIANCE MANAGEMENT SOLUTIONS
We offer effective, no-nonsense compliance management solutions built around your operating reality, not generic templates or theoretical models
Our approach is to deliver compliance management solutions through a comprehensive set of regulatory compliance services tailored to your business, including:
Your business goals
Financial Products and Services you offer
Your business size
Your technology and Human Resources
Your Risk Appetite
Your Governance Structure
Your Client Demographics
Your Regulatory History
Your Countries of OperationTheir applicable laws, and relevant licensing requirements and regulations, including key aspects such as outsourced providers’ monitoring, compliance training, risk management, audit, and assurance
Related Compliance ObligationsCompliance support for obligations across financial laws, licensing laws, privacy laws, anti-money laundering and counter-terrorist financing (AML/CFT) laws, fair trading laws, and more
Compliance Assurance ObligationsInternal control design and testing, implementation of compliance calendars, management plans, compliance assurance programs, and other second- and third-line compliance requirements
Compliance Support for your operational compliance requirements
Fraud Prevention Controls ︱Effective Governance Structures︱Market Conduct ︱Internal Controls TestingClient Due Diligence and Onboarding ︱Transaction Monitoring and Surveillance ︱Recordkeeping
Conflict of Interest Management ︱Regulatory Technology (RegTech) integration︱Internal Rreporting
External Reporting ︱Regulatory Filings︱ Trade Execution ︱Clearing and Settlement
Effective Compliance Support
Managed compliance service for regulated businesses
Targeted compliance consulting services on complex compliance issues
Managed BSA/AML/CFT Compliance Solutions for AML/CFT Regulated Businesses
Specialised regulatory compliance services across all key AML/CFT topics
Risk Management and Assurance Solutions for Effective Compliance Support
A range of tailored Regulatory Compliance Services to solve specific problems
Effective Managed Compliance Services
We offer Managed Compliance Services for the following financial institutions and regulated entities:
### Compliance Management Solutions for Derivatives Issuers[
](https://complyguardian.com/derivatives-issuers-compliance)
### Compliance Management Solutions for Fund Managers[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for fund managers, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/investment-fund-managers-compliance)
### Compliance Management Solutions for Finance Companies[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for finance companies, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/finance-companies-compliance)
### Compliance Management Solutions for Money Remitters and MSBs[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for money remitters, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/money-remitters-compliance)
### Compliance Management Solutions for E-Money Institutions[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for e-money institutions, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/e-money-institutions-compliance)
### Compliance Management Solutions for Investment Firms[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for investment firms, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/investment-firms-compliance-management)
### Compliance Management Solutions for Wealth Managers[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for wealth managers, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/wealth-managers-compliance)
### Compliance Management Solutions for P2P Lending Platforms [<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for P2P lending platforms, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/p2p-lending-platforms-compliance)
### Compliance Management Solutions for Crowdfunding Platforms[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for crowdfunding platforms, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/crowdfunding-platforms-compliance)
### Compliance Management Solutions for Consumer Lenders[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for commercial lenders, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/consumer-lenders-compliance)
### Compliance Management Solutions for Custodians[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for custodians, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/custodians-compliance-management)
<h3>Compliance Management Solutions for Non-Bank Lenders[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for non-bank lenders, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/non-bank-lenders-compliance)### Compliance Management Solutions for Neo-Banks[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for neo-banks, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/neo-banks-compliance)
### Compliance Management Solutions for Commercial Lenders[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for commercial lenders, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/commercial-lenders-compliance)
### Compliance Management Solutions for Investment Bankers[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for investment bankers, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/investment-bankers-compliance)
### Compliance Management Solutions for Online Gambling Businesses[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for the online gambling industry, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/online-gambling-compliance)
<h3>Compliance Management Solutions for ADIs[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective compliance management solutions for authorised deposit-taking institutions, including managed compliance services, targeted compliance consulting services, and specialised compliance support across key regulatory requirements." width="285" height="357">](https://complyguardian.com/authorised-deposit-taking-institutions-compliance)HOW WE ARE DIFFERENT
We've been delivering successful regulatory outcomes in the real world for years
We solve real compliance problems, not theoretical ones We push back when needed - regardless of who is on the other side We won't waste your time with workshops, buzzwords, or recycled content We know compliance from the inside outWe work the problem - not the theory or the textbook
We understand how regulators, auditors, banks, legal advisers think - because we've dealt with them for years across multiple jurisdictionsWe know who slows things down, who matters, what they look for, and how to navigate the noise
WE MAKE COMPLIANCE SUPPORT YOUR COMMERCIAL STRATEGY
We tie regulatory obligations to revenue, product, and market realities - not the other way around We protect commercial velocity while managing real-world regulatory expectationsWe've effectively done it all and seen it all
We've managed compliance for early-stage startups, high-growth tech firms, multi-licensed financial groups, high-risk business models, and cross-border operations with conflicting regulatory requirementsWE TAKE THE WORK OFF YOUR PLATE - NOT ADD TO IT
We use technology only where it actually helps: faster onboarding, clearer monitoring, stronger controls, and better reportingNo unnecessary platforms, no complexity - just tools that reduce the workload and improve outcomes
WE USE TECHNOLOGY TO REMOVE FRICTION - NOT TO CREATE MORE WORK
We take ownership of regulators, auditors, banks, and external advisers - so you don't have toWe cut through delays, escalation loops, and unnecessary noise
We keep your board, executives, and investors informed with clear, concise updates - not 40-page decks
Managed Compliance Service Details
Compliance Management Leadership
We can act as your Compliance Leads and Compliance Managers, fully managing compliance obligations under the applicable licensing requirements, laws, regulations, industry codes, and regulatory guidanceSecond-Line Compliance Management
We offer a full range second-line compliance management services, including internal controls testing, assurance work across operational and regulatory risks, and managing issue-closure and control-testing programsSupporting the Board in Strategic Compliance Management
Advising on the necessary compliance resourcing, budget, tools, role structuring, and compliance function, aligned with your business objectives, risk appetite, and regulatory expectationsCompliance Project Management
Effectively coordinating between senior management, committees, legal advisers, risk and compliance functions, outsourced providers, and different departments, including product development, technology, customer support, operations, assurance, marketing, and others, to help you successfully implement compliance projects across the businessCustomised Governance Solutions
** **Tailoring governance frameworks and mechanisms to fit your specific governance structure and effectively comply with regulations and other applicable obligationsWhether your business is locally oriented, a start-up, undergoing expansion, part of a multinational group, has a listed parent company or is undergoing restructuring, we tailor the oversight of compliance management to your business case
Supporting the Board in Strategic Compliance Management
Reporting to the board, committees, shareholders, regulators and other stakeholdersProviding management and the board with comprehensive compliance reports that cover your compliance with compliance obligations, regulatory development summary, compliance-related data and statistics and internal controls testing outcomes
Covering the status of your specific compliance-related projects and compliance goals, relevant compliance KPIs, and more
Compliance Calendar Implementation
We design and implement compliance management programs and calendars, covering such areas of compliance obligations as policy and key document reviews, control testing, risk assessment and reviews, vendor reviewers, user system access reviews and assurance activitiesManaging Customer Onboarding and Due Diligence
Implementing commercially oriented and compliant processes for KYC information collecting, [Know Your Business (KYB)](https://complyguardian.com/kyb-compliance-and-ml-tf-risks), ML/TF risk assessment, [PEP and Sanctions screening](https://complyguardian.com/pep-and-sanctions-screening-kyc-process), CDD and [EDD](https://complyguardian.com/of-the-enhanced-customer-due-diligence-procedure-overview), especially for higher ML/TF risk clients, to help you balance AML/CFT compliance obligations with customer experienceAML Transaction Monitoring and Reporting
Developing and implementing a set of business-specific ML/TF alerts and red flags to detect and report suspicious transactions to comply with the AML requirements without making AML/CFT compliance a hindrance to businessInformation Requests and AML/KYC Data Sharing
Managing requests from law enforcement, AML/CTF supervisors, banks, liquidity providers, and essential service partners - ensuring accurate, timely, and controlled information sharingCompliance Support for Business Expansion
Supporting new product launches, geographic expansion, and new regulatory exposures. Identifying risks, implementing controls, and establishing practical tools and systems to manage new compliance obligationsOperational Compliance Management Solutions
On-the-Ground Compliance Support
Conducting compliance management meetings, organising routine and ad hoc compliance reporting, overseeing mitigations and controls testing, leading adjustments and enhancements to your internal controls and protocols when requiredCompliance Process and Operations Building
Developing effective and compliant procedures and processes to implement your policies, support your operations across different teams and mitigate operational, regulatory and other risksOutsourced Providers Monitoring
Setting up initial due diligence and ongoing review frameworks for your outsourced providers to help you meet the required service standards for outsourcing under various compliance obligations and licensing requirementsIncident Management and Reporting
We can help you set up effective processes for incident reporting, escalations, and management at different levels of your businessSpecialised Compliance Consulting Services
Detailed Regulatory Compliance Support
Covering risk and regulatory compliance management issues across the first, second, and third lines, as well as matters related to effective compliance with financial markets regulations and financial licensing requirementsBanking Relationships Support
On risk and compliance issues related to managing and expanding relationships with banks, liquidity providers, and other financial institutions to help you meet their risk appetite requirements, anti-money laundering and counter-terrorist financing requirements, fraud prevention and recall volume expectations, and other compliance-related and operational standardsOperational AML/CFT Compliance Support
Advising support, onboarding, KYC, operating and other teams on the day-to-day onboarding and support queue management, effective AML/CFT resource allocation, and operational improvements, helping you maintain the overall customer experience and efficiency while remaining compliant with the applicable AML/CFT requirementsOperational Compliance Support
Advising compliance, management, technology, support and other teams on the day-to-day compliance with applicable regulations, focusing on internal processes and critical internal controls for effective compliance managementCompliance Framework Support
To help you create or enhance your compliance management framework, identify gaps and areas of improvement, meet your compliance obligations effectively, improve internal governance and reporting, and optimise them for market expansion and growthFinancial Licensing Advice
We can guide you through the licensing process, help you apply regulations to your specific circumstances and business environment, and meet the applicable licensing requirements to become licensed or maintain itPeer Benchmarking and Best Practices
We can help you benchmark your compliance practices against peers and applicable regulatory compliance guidance, identify areas for improvement and adopt best practices for enhanced complianceGovernment Agencies Liaison Advice
We provide strategic guidance to senior management and compliance teams on maintaining and managing relationships with external bodies, including regulators, AML/CTF supervisors and law enforcement agencies, focusing on long-term compliance strategies and proactive engagementSpecific Compliance Issues
We can help you resolve specific risk or compliance issues related to the applicable regulations and compliance obligations, including but not limited to external audits and reviews, reporting, oversight, difficult clients or transactions, expansion challenges, compliance management issues, process optimisation, and other regulatory challenges you may encounterOur Compliance Consulting Services cover all key Jurisdictions
Regulatory Compliance Services in Australia
Regulatory Compliance Services under the Corporations Act
APRA’s rules, and regulatory guidance.
Regulatory Compliance Services in the United Kingdom
[FCA Authorisation Regime](https://www.fca.org.uk/firms/authorisation)Compliance Support under FSMA 2000
FCA Handbook regulatory requirements
UK AML/CFT Regime (MLRs 2017, POCA 2002, SAMLA 2018)
Regulatory Compliance Services in Singapore
Capital Markets Services (CMS) Licensing Regime
Payment Services Act (PSA) Licensing Regime
Singapore AML/CFT Regime (CDSA & MAS AML Notices)
Financial Services and Markets Act (FSMA) 2022
Regulatory Compliance Services in New Zealand
[FMA Licensing Regime under the FMCA](https://www.fma.govt.nz/business/licensed-providers/)Financial Service Providers (Registration) Regime
New Zealand AML/CFT Regime (DIA , FMA , RZBN)
Regulatory Compliance Services in the United States
State-level licensing regimesUS AML Regime (BSA, AMLA 2020, FinCEN Rules)
Compliance Support in Offshore Jurisdictions and Tax Havens
Cayman Islands | Bermuda | Curacao Gibraltar | Belize | Vanuatu Seychelles | Malta | Bahamas Jersey | Guernsey | Isle of ManCompliance Assurance and Risk Management
### Compliance Assurance ProgramsWe design and implement your compliance assurance program to maintain enhanced oversight of your compliance with the applicable regulations and your internal compliance and risk appetite thresholds
### <span class="ez-toc-section" id="assurance_testing"></span>Assurance Testing<span class="ez-toc-section-end"></span>Evaluation of the overall effectiveness of your internal controls and regulatory compliance monitoring program against your desired assurance level
Identification of any deficiencies root cause analysis and recommendations for corrective actions
### <span class="ez-toc-section" id="organisation-wide_risk_assessments"></span>Organisation-Wide Risk Assessments<span class="ez-toc-section-end"></span>Covering the specific risks faced by your business, available mitigations, controls, their effectiveness, residual risk ratings and other relevant criteria
### Internal Controls Design
Helping you develop internal controls for various risk types and regulatory compliance obligations faced by your business
### <span class="ez-toc-section" id="regulatory_inspection_readiness"></span>Regulatory Inspection Readiness<span class="ez-toc-section-end"></span>Enhancing your Key Protocols and Internal Controls
Identifying any missing information and weak points
Interview Preparation
### <span class="ez-toc-section" id="risk_management_support"></span>Risk Management Support<span class="ez-toc-section-end"></span>Covering risk rating and methodologies, risk assessments, management, and mitigation for various risk types faced by your business, including regulatory, ML/TF, fraud, data protection, and operational risks
AML/CFT COMPLIANCE MANAGEMENT SOLUTIONS
We know AML/CFT inside out
From building AML/CFT controls for startups to managing AML/CFT compliance in high-risk businesses with hundreds of thousands of active customers and millions of customers on their balance sheet Comprehensive experience in dealing with AML/CFT supervisors in all key jurisdictions from registration to helping them with remediation Managing AML/CFT compliance businesses with high-risk customer bases and complicated transaction flows Automating key AML/CFT processes where it matters, delivering staff training, and tailoring AML/CFT compliance to your business goals### <span class="ez-toc-section" id="amlcft_risk_assessments"></span>AML/CFT Risk Assessments<span class="ez-toc-section-end"></span>
### BSA/AML/CFT Programs[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Comprehensive Regulatory Compliance Service covering AML/CFT Program tailored to your business needs" width="285" height="357">](https://complyguardian.com/aml-cft-program)
### AML/CFT Training Solutions[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective Compliance Consulting Services covering AML/CFT training for all key functions and personnel " width="285" height="357">](https://complyguardian.com/aml-cft-training-solutions)
### <span class="ez-toc-section" id="amlcft_compliance_consulting_service"></span>AML/CFT Compliance Consulting Service<span class="ez-toc-section-end"></span>
### Managed AML/CFT Compliance Service[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Specialised Managed Compliance Service for AML/CFT Compliance " width="285" height="357">](https://complyguardian.com/aml-cft-managed-service)
### AML/CFT Inspection Preparation[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Regulatory Compliance Services to prepare you for an external AML/CFT audit or regulatory compliance review " width="285" height="357">](https://complyguardian.com/internal-aml-review-and-audit)
### AML/CFT Audit Service[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="AML/CFT audit solution with integrated compliance support" width="285" height="357">](https://complyguardian.com/aml-cft-audit-solution)
### AML/CFT Review Australia[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective AML/CTF review solution for effective compliance support in Australia " width="285" height="357">](https://complyguardian.com/independent-aml-ctf-review-australia)
### UK AML/CFT Audit [<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="Effective AML/CFT audit solution for effective compliance support in the UK" width="285" height="357">](https://complyguardian.com/aml-cft-audit-uk)
### New Zealand AML/CFT Audit[<img data-recalc-dims="1" loading="lazy" decoding="async" src="https://i0.wp.com/complyguardian.com/wp-content/uploads/2025/07/Screenshot-2025-07-29-215459.png?resize=285%2C357&ssl=1" alt="AML/CFT audit solution for effective compliance support in New Zealand " width="285" height="357">](https://complyguardian.com/aml-cft-audit-new-zealand)Specialised Regulatory Compliance Services
Fraud Prevention Solutions
### <span class="ez-toc-section" id="customer_onboarding_solutions"></span>Customer Onboarding Solutions<span class="ez-toc-section-end"></span>
### <span class="ez-toc-section" id="compliance_monitoring_programs"></span>Compliance Monitoring Programs<span class="ez-toc-section-end"></span>
### Compliance Management Frameworks
### Compliance Training Solutions
### Vendor Compliance Management Solutions
Financial Licensing Solutions
We help businesses obtain financial licences and regulatory authorisations in Australia, the UK, Singapore, the USA, New Zealand, and popular offshore centers We handle pre-licensing assessments, prepare the full application package, manage regulator interactions throughout the approval process, and provide post-licensing compliance support and advisory once authorised<h3><span class="ez-toc-section" id="afsl_licensing_solutions"></span>AFSL Licensing Solutions
### <span class="ez-toc-section" id="acl_licensing_solutions"></span>ACL Licensing Solutions<span class="ez-toc-section-end"></span>
### <span class="ez-toc-section" id="fca_authorisation_solutions"></span>FCA Authorisation Solutions<span class="ez-toc-section-end"></span>
### FMA Licensing Solutions
### CMS Licensing Solutions
### MAS Licensing Solutions
LFMC │ RFMC │ CMS │ FA │PSA
Compliance Remediation Solutions
Compliance Remediation Advice
Our regulatory compliance service covers rectification of compliance issues, from minor breaches to significant regulatory challenges, including warnings and action plansRemediation Plan Development
We support financial institutions and regulated businesses in devising a detailed plan outlining these actions for submission to your regulator or an AML/CFT supervisor, ensuring the plan is both actionable and compliant with regulatory expectationsRemediation Plan Commitment
Executing remediation plans and preventing recurrence of non-compliance are key parts of this regulatory compliance serviceExecutive Attestation Support
Our compliance management solutions cover supporting senior executives in preparing the required attestations to their regulatorThis involves confirming that all necessary remedial actions have been undertaken, and that adequate compliance measures are in place, supported by comprehensive documentation and evidence
Internal And External Reporting Support
Internal Quality Assurance Reporting
While second-line control testing is crucial for complying with financial laws, regulations and licensing requirements, first-line quality assurance results are equally important for effective risk and compliance managementAs part of our regulatory compliance service, we help to organise effective reporting lines, tailor reporting content to your specific circumstances, products, and team size, and establish a structured approach to responding to reporting outcomes
Board and Committee Reporting
Commercially oriented and protective reporting is one of the keys to successful compliance management solutionsWe focus on facilitating structured reporting workflows for various committees and board delegates, including risk, compliance, and audit committees, focusing on your current compliance status, any deviations from your risk appetite, changes in risk ratings, and operational compliance updates, to ensure that governance structures are well-informed and aligned with compliance management practices
Compliance Performance Metrics
We focus on developing and presenting comprehensive compliance performance metrics to the board or relevant committees, offering insights into your compliance effectiveness and identifying points for improvement in key compliance areas, including compliance training, fraud prevention, compliance monitoring, risk rating and assessment, controls effectiveness, adherence to your compliance calendar, regulatory technology (RegTech) performance, and moreInternal Audit Reporting
We can help you improve the effectiveness of internal audit so that its findings reflect your actual performance against applicable compliance obligations. Our regulatory compliance services include developing tailored methodologies for auditors, preparing the necessary audit evidence, and reviewing audit resultsThe goal of the compliance support here is to ensure that audit procedures and outcomes directly contribute to maintaining and enhancing your compliance status and internal controls effectiveness