Regulatory Advisory for Investment Firms
Specialist advisory for investment firms navigating MiFID II, MiFIR, EMIR, and MAR. From licensing to reporting — practical implementation by someone who has done it.
What We Do
We don't just advise — we implement. Every engagement delivers working frameworks, reporting pipelines, and compliance structures you can operate.
End-to-end AFM licence application support. Gap analysis, application drafting, regulatory dialogue, and organisational design for trading venues.
Complete compliance framework design and implementation. Transaction reporting, best execution, product governance, and client categorisation.
Trade reporting under EMIR Refit. Field mapping, validation rules, reconciliation processes, and delegated reporting arrangements.
Market abuse surveillance framework design. STOR procedures, insider lists, suspicious transaction detection, kill switch governance.
IFPR, FINREP, and COREP quarterly reporting. XBRL filing, DLR portal setup, data quality controls, and DNB custom taxonomy expertise.
ICT risk management, incident reporting, resilience testing, and third-party risk management under the Digital Operational Resilience Act.
Our Approach
Regulatory gap analysis against your licence type, activities, and risk profile. Identify what you need, not what you might need.
Build the compliance framework: processes, controls, reporting structures, and system requirements — tailored to your firm's scale.
Hands-on delivery. We don't leave you with a slide deck — we build the actual reporting templates, monitoring tools, and operational procedures.
