Independent compliance audit and assurance, CPD-aligned training programmes, and risk assessment modelling for regulated fintech and digital asset firms. The ongoing compliance infrastructure that keeps authorised businesses ahead of supervisory expectations, not just compliant on paper.
Independent periodic audits of compliance controls, designed to provide the board with an objective view of whether the compliance framework is working, not just whether it exists. We audit with the same rigour the FCA applies in supervisory review.
Tailored, CPD-aligned regulatory and financial crime training for boards, senior managers, and operational teams. Role-specific content, not generic e-learning modules. Designed to embed a genuine culture of compliance, not tick a box on an annual training record.
Enterprise risk frameworks, conduct risk models, and financial crime risk assessments built to provide the board with a structured, evidence-based view of the firm's risk profile. Outputs are designed to satisfy FCA supervisory expectations and support ICAAP / ILAAP where applicable.
Independent assessment of the firm's compliance framework against current regulatory requirements, useful for newly authorised firms, firms preparing for supervisory review, or businesses that have grown faster than their compliance infrastructure. Prioritised remediation with clear timelines.
When the FCA issues a section 166 skilled person review, a Dear CEO letter, or direct supervisory feedback, the response must be precise and credible. We support firms in managing the supervisory dialogue, preparing written responses, and designing and executing remediation programmes.
For firms operating across UK and EU jurisdictions, keeping pace with regulatory change across both perimeters is operationally demanding. We provide a monitoring and horizon-scanning service, flagging material changes to FCA, MiCA, AMLD6, and DORA requirements as they develop.
We agree audit scope, methodology, and access requirements with the board or senior management before any work begins. Output: written audit plan.
We review documentation, interview key personnel, and test controls against the agreed scope. We access systems, records, and evidence, not just policy documents.
A draft report is shared with management for factual accuracy review. Findings are RAG-rated, root-cause analysed, and supported by specific evidence references.
The final report is presented to the board or audit committee. We remain available to support the remediation programme and validate closure of findings.