Oben Regulatory StaffOben Regulatory Staff
Your high standards are ours

Oben Regulatory Limited advises and supports financial services businesses.

We offer a bespoke, solution-driven service ensuring that effective risk-based, commercial decisions are made which are clearly aligned to legislative and regulatory requirements.

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
  • Drafting and advising on terms of business for regulated service providers
  • Drafting and review of third party agreements (including security agreements, confidentiality agreements and service and supply agreements)
  • Advising on standard form precedents

In September 2017 Oben Regulatory and Logicalis formed an association for the purpose of offering a comprehensive service to address issues of Data Protection and Cyber Security.

The basis of the association is the EU Directive of 2018. This requires businesses to have a solution that is not merely IT-based, not merely a regulatory issue, and not simply a legal one. It is a significant matter which requires an appreciation of all three aspects.

An association between Logicalis (one of the largest specialists in managed security systems in the Channel Islands) and Oben (with its regulatory business and law firm) is uniquely placed to offer such a comprehensive service.

Logicalis Services:

  • Advising on GDPR Solutions
  • Data Discovery and Classification
  • Encryption Solutions
  • Breach Detection
  • Data Loss Prevention
  • Data Access Controls
  • Managed Cyber Security Services
  • Secure Cloud Backup and Recovery
  • User Security Awareness Training and Testing

 

Oben Services:

  • Compliance with GDPR
  • Advising on Third Party Contracts
  • Employment Issues
  • Breaches
  • Dealing with Inspections and Prosecutions
  • Training
  • Policies and Procedures
  • Data Subject Access Requests

We offer a range of bespoke training packages designed to assist your business to meet its regulatory requirements. In recognition of the desire for more effective training we ensure that our training is interactive and relevant to your business. We have provided case study based training to numerous businesses delivering to all levels of employees. We currently provide training in the following areas, but can accommodate most training needs:

  • AML/CFT
  • Sanctions
  • Regulatory pitfalls
  • GDPR
  • Fund specific
  • Directors’ Duties
  • Regulatory Investigations
  • Governance

Oben Regulatory is highly experienced in assisting businesses anticipating a regulatory visit, and those subject to enforcement action. We are well versed in assisting businesses engage with the regulator to reach practical and pragmatic solutions. We are also appointed by regulatory bodies as reporting professionals and inspectors. Contact us if you need any assistance with the following:

  • Examination assistance
  • Remediation projects
  • Reporting professional assignments
  • Support & assistance to regulatory authorities
  • Investigations: forensic analysis

Our team has considerable experience and expertise supporting entities by performing reviews of  corporate governance arrangements, functions (for example the compliance function) and business models.  Reviews may cover specific client files or relationships or it may look at the business model and infrastructure.  We also undertake due diligence exercises for M&A purposes.

Contact us if you need any assistance with the following:
 

  • Board effectiveness review
  • Corporate governance reviews
  • M&A due diligence projects
  • Health checks
  • Independent due diligence of customers
  • Managed entity reviews

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
  • Drafting and advising on terms of business for regulated service providers
  • Drafting and review of third party agreements (including security agreements, confidentiality agreements and service and supply agreements)
  • Advising on standard form precedents

In September 2017 Oben Regulatory and Logicalis formed an association for the purpose of offering a comprehensive service to address issues of Data Protection and Cyber Security.

The basis of the association is the EU Directive of 2018. This requires businesses to have a solution that is not merely IT-based, not merely a regulatory issue, and not simply a legal one. It is a significant matter which requires an appreciation of all three aspects.

An association between Logicalis (one of the largest specialists in managed security systems in the Channel Islands) and Oben (with its regulatory business and law firm) is uniquely placed to offer such a comprehensive service.

Logicalis Services:

  • Advising on GDPR Solutions
  • Data Discovery and Classification
  • Encryption Solutions
  • Breach Detection
  • Data Loss Prevention
  • Data Access Controls
  • Managed Cyber Security Services
  • Secure Cloud Backup and Recovery
  • User Security Awareness Training and Testing

 

Oben Services:

  • Compliance with GDPR
  • Advising on Third Party Contracts
  • Employment Issues
  • Breaches
  • Dealing with Inspections and Prosecutions
  • Training
  • Policies and Procedures
  • Data Subject Access Requests

We offer a range of bespoke training packages designed to assist your business to meet its regulatory requirements. In recognition of the desire for more effective training we ensure that our training is interactive and relevant to your business. We have provided case study based training to numerous businesses delivering to all levels of employees. We currently provide training in the following areas, but can accommodate most training needs:

  • AML/CFT
  • Sanctions
  • Regulatory pitfalls
  • GDPR
  • Fund specific
  • Directors’ Duties
  • Regulatory Investigations
  • Governance

Oben Regulatory is highly experienced in assisting businesses anticipating a regulatory visit, and those subject to enforcement action. We are well versed in assisting businesses engage with the regulator to reach practical and pragmatic solutions. We are also appointed by regulatory bodies as reporting professionals and inspectors. Contact us if you need any assistance with the following:

  • Examination assistance
  • Remediation projects
  • Reporting professional assignments
  • Support & assistance to regulatory authorities
  • Investigations: forensic analysis

Our team has considerable experience and expertise supporting entities by performing reviews of  corporate governance arrangements, functions (for example the compliance function) and business models.  Reviews may cover specific client files or relationships or it may look at the business model and infrastructure.  We also undertake due diligence exercises for M&A purposes.

Contact us if you need any assistance with the following:
 

  • Board effectiveness review
  • Corporate governance reviews
  • M&A due diligence projects
  • Health checks
  • Independent due diligence of customers
  • Managed entity reviews