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With more than 40 years of combined experience in the financial services industry, including over 20 years spent at the Guernsey Financial Services Commission, we can provide a range of governance, risk and compliance services tailored to the specific needs, requirements and risks of individual businesses, including:

Independent Reviews

We can conduct independent reviews of various aspects of your business.  These include:

    • corporate governance​ arrangements;
    • compliance functions​;
    • compliance monitoring programmes;
    • AML/CFT policies, procedures and controls;
    • outsourcing oversight arrangements; and
    • risk management frameworks.

 Compliance Assistance

We can provide assistance and support in all areas of your compliance framework, including:

    • mentoring compliance officers, money laundering compliance officers and money laundering reporting officers;
    • preparing and reviewing business risk assessments​;
    • drafting and reviewing policies, procedures and controls​;
    • defining and completing compliance monitoring programmes​; and
    • assisting with the periodic review of client due diligence and risk assessments.

 Regulatory Support

We can provide support with a range of regulatory matters, including:

    • preparation of new GFSC licence or fund applications;
    • review and provide feedback on new licence or fund applications prepared by you;
    • preparation for GFSC regulatory visits or engagements meetings;
    • conducting mock regulatory inspections or engagements;
    • assisting with Risk Mitigation Programmes​; and
    • assisting with the completion of regulatory returns.

  Training

We can provide a range of training to suit your needs, either one-to-one or in a group setting, covering a range of topics including:

    • all aspect of the Bailiwick's anti-money laundering and terrorist financing regime;
    • an introduction to compliance and risk management;
    • central tenants of the Alternative Investment Fund Managers Directive and the Guernsey AIFMD opt-in regime;
    • outsourcing due diligence and oversight arrangements; and
    • risk management frameworks.

  FinTech/RegTech

Whether you're a business operating in the FinTech space, or a traditional business looking to reap the benefits of RegTech, we can assist in ensuring your compliance with the Bailiwick's regulatory regime.