Regulatory Consulting
Our regulatory consulting services for financial services businesses in Guernsey.
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.