Our Services

Risk, Governance & Compliance Services

Comprehensive services for trading firms navigating the regulatory landscape in crypto and traditional markets.

Service Categories

What We Offer

Regulatory Advisory

Expert guidance on navigating complex regulatory landscapes across crypto and traditional finance.

License Applications
End-to-end support for regulatory license applications including EMI, PI, CASP, and VARA.
Gap Analysis
Comprehensive assessment of your current compliance posture against regulatory requirements.
Regulatory Mapping
Map your business activities to applicable regulations across multiple jurisdictions.
Compliance Roadmaps
Prioritised action plans to achieve and maintain regulatory compliance.
Regulatory Change Management
Stay ahead of regulatory changes with proactive monitoring and impact assessment.

Risk Management

Enterprise-grade risk frameworks designed for trading operations in traditional and digital asset markets.

Risk Framework Design
Build comprehensive risk management frameworks tailored to your trading activities.
Model Validation
Independent validation of trading models, risk models, and pricing models.
Stress Testing
Design and execute stress testing programmes for market, credit, and liquidity risk.
Risk Reporting
Develop risk dashboards and reporting frameworks for board and regulatory purposes.
Operational Risk
Identify, assess, and mitigate operational risks across your trading infrastructure.

Controls & Audit

Robust control frameworks and audit support to ensure operational excellence and regulatory readiness.

Control Framework Design
Design and implement pre-trade, post-trade, and operational controls.
Policy Development
Create comprehensive policy libraries covering all regulatory requirements.
Audit Preparation
Get audit-ready with documentation, evidence packs, and walkthrough support.
Assurance Reviews
Independent assurance reviews of controls, processes, and compliance.
Control Testing
Regular testing of control effectiveness with remediation recommendations.

Operations & COO Support

Outsourced COO function and operational support for trading firms of all sizes.

COO-as-a-Service
Full COO function support without the full-time headcount. Scale as you grow.
Policy Library Management
Maintain and update your policy library with version control and attestation tracking.
Compliance Calendar
Track regulatory deadlines, filings, and renewals across all jurisdictions.
Board Reporting
Prepare board packs, risk reports, and compliance updates for governance.
Regulatory Liaison
Manage relationships and communications with regulatory authorities.
Specialised Services

Crypto & Algo Trading Focus

Deep expertise in the unique regulatory requirements of crypto and algorithmic trading

Crypto Compliance

Digital asset regulations

UK DSS Readiness
Digital Securities Sandbox preparation and application
MiCA Compliance
EU crypto asset regulation preparation
VARA Licensing
Dubai virtual asset regulatory authority support
AML/KYC Frameworks
Crypto-specific anti-money laundering programmes
Travel Rule Compliance
FATF Travel Rule implementation for crypto
Wallet & Custody
Secure custody and wallet management policies

Algo Governance

Algorithmic trading compliance

MiFID II Compliance
Algorithmic trading requirements under MiFID II
DORA Readiness
Digital Operational Resilience Act preparation
Algorithm Governance
Approval, testing, and change management frameworks
Best Execution
Best execution policies and monitoring
Market Abuse
Surveillance and market abuse prevention
Transaction Reporting
EMIR, MiFIR, and other reporting regimes
How We Work

Engagement Models

Flexible engagement options to match your needs and budget

Advisory Project

One-off engagements for specific challenges like gap analysis, license applications, or framework design.

  • Fixed scope & timeline
  • Clear deliverables
  • Knowledge transfer

Retainer

Ongoing advisory support with dedicated hours each month for continuous compliance needs.

  • Monthly hours allocation
  • Priority access
  • Proactive monitoring

COO-as-a-Service

Comprehensive operational support functioning as your outsourced COO team.

  • Full COO function
  • Scalable support
  • Regulatory liaison

Industries We Serve

Crypto Funds
Prop Trading Firms
Hedge Funds
Market Makers
DeFi Projects
Exchanges
Custodians
Asset Managers

Ready to Get Started?

Let's discuss your regulatory challenges and how we can help.