ADVICE & STRATEGY

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.

  • AML/CFT
  • 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
  • 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 …

  • 09.04.2021 Regulatory
    Jersey Private Fund Thematic Review

    The JFSC issued the results of its thematic review of designated service providers (“DSP’s”) in ensuring a Jersey Private Fund’s (JPF’s) compliance with the JPF Guide and the DSPs responsibilities …

  • 01.10.2020 Regulatory
    ObenView 10: National Risk Assessment- How it affects your business