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  • Regulatory Consulting

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.