Approach
Our approach
One connected programme, from first assessment to the first year of operation. Each step produces something the next step uses, so nothing is written twice.
Four steps
Assess, Design, Apply, Operate.
Assess
Licence-path confirmation, eligibility review and a gap analysis against the conditions you will have to meet.
Output · Readiness report & roadmap
Design
Governance structure, risk and compliance frameworks, policies and the operating model, written to work together.
Output · Framework & policy set
Submit
Application file assembled with you and reviewed before you submit; responses to regulator questions prepared from one consistent source.
Output · Submission-ready file
Operate
Go-live readiness, interim compliance support, inspection preparation and regulatory change monitoring.
Output · Operating compliance calendar
Who does what
Three parties, five phases, three decision gates.
Each gate is a decision you take with evidence in hand: proceed, adjust, or stop before more is spent.
- G1Licence path confirmed: go, adjust or stop
- G2File ready: every commitment can be operated
- G3Go-live ready: operations match the file
01
Assess
What we do
- Map the business model to the regulated activities it involves
- Confirm the regulator and licence family
- Review shareholding, capital, key persons, systems and outsourcing against the conditions
What you get
- Readiness report with gaps ranked by effort and impact
- Roadmap with workstreams, owners and indicative durations
02
Design
What we do
- Board and committee structure, roles and accountability
- Risk management framework, compliance programme and AML/CFT
- Target operating model, processes and controls
What you get
- A consistent policy and procedure set
- Risk and control matrices that the business can run
03
Submit
What we do
- Business plan and financial projections written for a supervisory reader
- Consistency review across every document in the file
- Preparation for regulator questions and meetings
What you get
- Submission-ready application file
- Question-and-answer log kept consistent with the file
04
Operate
What we do
- Go-live check against every commitment made in the application
- Interim risk and compliance support while the team is hired
- Inspection readiness and regulatory change monitoring
What you get
- Operating compliance calendar
- Monitoring and reporting routine for management and the board
Ways to engage
Start small. Extend when it is worth it.
01 · Assessment
Fixed-scope assessment
A short engagement that confirms the licence path, the gaps and the roadmap. Useful on its own, and the base for everything else.
02 · Project
Licence or framework project
A defined programme to prepare a licence application, a GRC framework or an operating model, with milestones agreed up front.
03 · Retained
Ongoing support
A monthly arrangement for interim risk and compliance, monitoring, inspection readiness and regulatory change.