Our team is well placed to provide a wide range of services to assist you and your business whatever the situation.  We have extensive experience dealing with businesses in distress or simply those who recognise that certain functions or operations within their business model are not aligned to strategy or risk appetite.

We provide assistance with the following areas, guiding clients and reviewing and refining key governance documents to ensure that your business is aligned in terms of strategy, risk and corporate governance.

  • Adjusted Net Liquid Assets (“ANLA”) guidance
  • Business risk assessment
  • Anti-bribery & corruption
  • Client monies and assets: control & segregation
  • Complaints: handling and guidance
  • Compliance framework assessment
  • Conduct risk framework
  • Non Executive Director support and assistance
  • Policies & procedures
  • Retainers: regulatory & compliance advisory services
  • Independent compliance monitoring programmes
  • Governance risk framework
  • Licence applications
  • Sanctions
  • 26.08.2022 Law Regulatory
    The UK’s Register of Overseas Entities

    The UK Register of Overseas Entities (the “Register”) was launched at Companies House on 1 August 2022, pursuant to the Economic Crime (Transparency and Enforcement) Act 2022 (the “Act”). The …

  • 17.08.2021 Law Regulatory
    Inconsistency over cannabis in the crown dependencies causes confusion for compliance officers

    With increased interest in the economic contribution from a cannabis industry, all three Crown Dependencies have embarked on creating an environment to encourage direct industrial and related financial activity.  However, …

  • 09.07.2021 Company News
    Oben Regulatory expands into the Isle of Man

    Oben Isle of Man, has been launched in collaboration with established local regulatory expert, Steve Billinghurst, formerly a partner of Deloitte and leader of PwC’s Advisory Services.  Steve has a …