Regulatory Consulting

We offer valuable consultancy to regulated businesses in Guernsey. Our professionals have decades of experience in the financial services industry, including over 20 years spent at the Guernsey Financial Services Commission.  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.