Services for start-ups & entrants

Starting a new business in a highly regulated industry like the financial market, or navigating a separation or transformation, requires careful planning and strong operational foundations. Our team provides a full suite of services that assist businesses through the regulatory and operational challenges they face. From market entry strategy to managing the intricacies of corporate restructuring, we provide expert risk and compliance guidance at every step. Our services ensure that your business is ready to meet all compliance, and operational standards, minimising risk while maximising your potential for success.

Building compliance frameworks

One of the most crucial elements in starting a financial services business or managing a separation or transformation project is setting up a strong compliance and operational framework. Without it, businesses risk facing regulatory violations and operational inefficiencies. Our services help you build robust frameworks with clear policies, procedures, and controls aligned with regulations. This ensures that all aspects of your business—from financial transactions to customer management—are conducted according to regulatory requirements, thus minimising risks of non-compliance. We’ll ensure you are equipped to meet current and future regulatory standards.

Risk & compliance structure

Setting up the right organisational structure for risk and compliance is essential, especially in the financial services sector. During a separation or transformation project, businesses must ensure they have the right internal resources, governance structures, and processes to manage risk effectively. Our team helps you set up a dedicated risk and compliance function that meets regulatory requirements. This may include advising on the organisational design, roles, and responsibilities, training and helping define the reporting lines to ensure that compliance is maintained throughout your operations.

Compliance systems & processes

Compliance systems are the backbone of any business undergoing a start-up, transformation or separation program. Establishing effective systems and processes that ensure compliance can be a daunting task, particularly for businesses entering new markets or operating under different regulatory conditions. We assist with setting up compliance management systems, reviewing and refining existing processes, and developing new procedures tailored to your business’s needs. This includes implementing controls for monitoring regulatory adherence, automating compliance tasks, and ensuring the integrity of your data.

Ad hoc regulatory advice

During a separation or transformation process, businesses often encounter regulatory issues. These matters require immediate attention or ongoing consultation to ensure your business remains compliant throughout the transition. Our team offers ad hoc regulatory advice to support you before, during, and after the process. Whether it’s addressing emerging regulatory challenges or providing guidance on compliance obligations, we’re available to offer timely, expert support. With us, you can quickly adapt to any regulatory changes and avoid costly mistakes that may arise during the transition process.

• Industry expertise – Experience in guiding businesses through the regulatory complexities of the financial market, ensuring smooth transitions during start-up, separations or transformations.
• Tailored solutions – We customise our services to your specific needs, ensuring compliance, risk management, and operational structures are perfectly aligned with your business objectives.
• Proactive compliance approach – Identifying potential regulatory risks and compliance gaps before they become obstacles, helping your business stay ahead in a competitive and regulated market.
• Independent & objective support – Offering unbiased advice and practical solutions throughout your start-up, separation or transformation journey, ensuring regulatory confidence and operational efficiency.