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.
A 24-page, sector-by-sector horizon scan for banks, insurers, asset managers, pension funds and investment firms: the heaviest regulatory implementation window in over a decade, with the key dates, charts and what to do now.
Inside: Solvency II review & IRRD · EU AML Regulation · T+1 settlement · CRR3/CRD6 · AIFMD II · WTP · DORA & the EU AI Act.
PDF · 24 pages · no charge
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.
A practical pre-submission checklist for IFPR, FINREP and COREP: the points firms most often get wrong. Download the PDF instantly.
We use strictly necessary cookies to run this site. With your permission we also set statistics cookies (Google Analytics) and marketing cookies (Calendly scheduling). You can change this choice anytime via the footer. See our privacy statement and cookie statement.
