Minimize Legal, Regulatory & Operational Risk

Our purpose is to empower our clients to grow without worrying about risks. We highlight issues unique to your business and build a framework to minimize your compliance and operational exposure.

Strive for Operational Efficiency

We’re all about simplicity. As we minimize your exposure, we will look for the most efficient and cost effective way to address it. If there is a more cost effective or efficient way to minimize your risk, we will find it. 

Build Relationships

As a boutique consulting firm, we look to build an intimate relationship with our clients. Built on strong foundations of trust and intellect, we remove the barriers and strive to become your thought partners. 

Legal, Regulatory & Compliance Risk

We offer expert guidance to businesses navigating complex legal landscapes and regulatory frameworks. We provide comprehensive assessments to identify potential risks, ensure compliance with applicable laws, and develop strategic solutions that safeguard operations and reputation. With our specialized insights, clients can proactively manage legal and regulatory challenges, fostering a secure and ethically sound business environment.

• Assisting with Regulatory Examinations

• CCO Services

• Drafting or Enhancing Policies and Procedures

• General Advisory

• Identifying Compliance Gaps

• Licensing and Registration

• Monitoring and Reporting

• Regulatory Reporting

• Remedial Efforts with Regulatory Findings

• Temporary Staffing

• Training and Education

Operational & Financial Risks

Operational risk is the risk of loss as a result of ineffective or failed internal processes, people, systems, or external events which can disrupt the flow of business operations. We assist businesses in identifying, evaluating, and managing potential threats to their operational efficiency and financial stability through Risk and Control Self-Assessments (RCSAs). We conduct comprehensive risk assessments, offering insights to enhance resilience across processes and systems. Through strategic recommendations and controls, we empower organizations to proactively navigate uncertainties, optimize resource allocation, and ensure long-term business continuity.

• Building an Operational Risk Management (ORM) system

  • Establishing a Risk Appetite

  • Risk Identification

  • Risk Assessment

  • Risk Mitigation

  • Control Implementation

    • Risk and Control Self-Assessments (RCSAs)

  • Risk Monitoring

  • IT Services

Information Technology

Our IT services cover virtually every aspect of fintech including application development, ongoing network management, cybersecurity and immersive learning and training solutions for our clients.

• New Product / Application Development

• API Integration / Platform Interoperability

• Cybersecurity

• Product Release Handoff and Maintenance

• Complement In-House Team to Increase Speed and Reduce Cost

• Technology-Enabled Learning and Training Solutions

• Branding and Digital Marketing

• Marketing and Advertising Firms

• Broker-Dealers

• Commodity Trading Advisors

• Commodity Pool Operators

• Introducing Brokers

• Investment Advisors

• Swap Dealers

• Retail Foreign Exchange Dealers