Regulatory Compliance Consulting

We’ll Help You Turn Compliance Headaches into Competitive Advantage

Regulatory compliance when done right, wins customer confidence, reassures investors or larger business partners, increase business valuation and helps build a strong foundation on which the business can achieve great heights.

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You Can’t Afford to  Get Compliance Wrong When
Building a High Growth Financial Services Business

Regulation permeates every aspect of your business when you are working in one of the highest regulated industries.  Regulatory resilience is what separate winners from losers in financial services.  Winners not only stay abreast of complex regulatory change, but find innovative ways to leverage it for commercial gain.

The challenge these firms face is to keep control over regulatory compliance while building a high growth, innovative (or even a disruptive) business.  They are testing new boundaries, exploring latest technologies such as blockchain, tokenisation and artificial intelligence, where the rules are not clear.

When the team is growing rapidly, leadership struggle to confirm that everyone is aware of their compliance responsibility, and the firm is overall, compliant.

The result is an increase in frequency of compliance breaches. Customer complaints may rise, or worse, the firm is under investigation by the regulator.  Customers and investors lose trust, hampering the growth of your vibrant business.

You don’t want to let compliance be an obstacle to the exponential growth of your financial services business.  We can help you.

Vedanvi is Here to  Help?

If you are launching a new financial services business, we can help you design the best regulatory strategy and your compliance plans and processes.  We’ll help you win your regulatory license (only in UK at the moment) and train the founding team so that they can stay abreast of compliance.

If you are already running a successful financial services business, then let us help you stay on top of compliance, freeing you up to build your business.

Get in touch if you are facing a due diligence or regulatory review (or even an investigation).  We’ll help you get through the process and implement any remedial actions agreed.

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New Venture Regulatory Support

Regulatory Strategy Design

Unsure whether you need a license to trade?  Looking for quick market entry strategy while waiting for a regulatory license? Not clear on what regulatory permissions to apply for?  Are you an overseas firm looking to establish a financial business in UK? We can help

Regulatory Authorisation

We’ve helped many innovative financial services players successfully win their regulatory license in the UK. We can either support you or offer a full service where we produce all documentation and take responsibility for submitting the application. Find out how we can help.

Compliance documentation

We’ll help you build a compliance resource library to support licensing and ongoing compliance.  Documents we can draft include: Regulatory Business Plan | Compliance Manual and Monitoring Programme | Policies u0026amp; Procedures | Financial Projections | Capital Adequacy Forecast | Resolution Plans | and many more

Book a Free, No Obligation Consultation


Ongoing Compliance Support u0026amp; Advisory Services

Regulatory change support

Can’t keep up with new rules or regulatory announcements? Unsure of where to start when implementing new rules into your business processes? Want to understand the impact of new regulation on your business and market positioning? Can’t get all staff on board with new regulatory change.  Call us to discuss how we can help.

ongoing COmpliance support

Need someone to take care of day to day compliance, freeing you to build your business? Need an experienced interim Chief Compliance Officer? Do you have a pressing compliance question you need answered immediately? Are you facing a compliance due diligence by investors that you need to prepare for?

Get in touch to learn how we can help.

compliance review u0026amp; Investigations

Does your Board and Shareholders require annual or ongoing assurance review of compliance arrangements, systems and controls?  Are you facing a regulatory on-site supervisory visit, investigation or enforcement action? Need to prepare with a mock regulatory review?  Get support of senior level and highly experienced compliance professionals

Book a Free No Obligation Consultation


What Our Clients Have to Say

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