Regulatory Consulting
Through our credentials and experience, we are able to provide robust governance, risk and compliance services, shaped to the specific needs, requirements and risks of your business.
Independent Reviews
Our independent review services apply to various aspects of your business, including:
- corporate governance arrangements;
- compliance functions;
- compliance monitoring programmes;
- AML/CFT policies, procedures and controls;
- outsourcing oversight arrangements; and
- risk management frameworks.
Regulatory Support
Benefit from consultancy and support across a wide range of regulatory matters, including:
- preparation of new GFSC licence or fund applications
- review and provide feedback on new licence or fund applications prepared by you;
- preparation for GFSC regulatory visits or engagements meetings;
- conducting mock regulatory inspections or engagements;
- assisting with Risk Mitigation Programmes; and
- assisting with the completion of regulatory returns.
Compliance Assistance
Strategic and tactical support for all areas of your compliance framework, including:
- mentoring compliance officers, money laundering compliance officers and money laundering reporting officers;
- preparing and reviewing business risk assessments;
- drafting and reviewing policies, procedures and controls;
- defining and completing compliance monitoring programmes; and
- assisting with the periodic review of client due diligence and risk assessments.
Training
Our individual and group training is tailored and can cover appropriate topics including:
- the Bailiwick's anti-money laundering and terrorist financing regime;
- an introduction to compliance and risk management;
- central tenants of the Alternative Investment Fund Managers Directive and the Guernsey AIFMD opt-in regime;
- outsourcing due diligence and oversight arrangements; and
- risk management frameworks.
FinTech / RegTech
Whether you're a business operating in the FinTech space, or a traditional business looking to reap the benefits of RegTech, we can advise you in ensuring your compliance with the Bailiwick's regulatory regime.