Compliance
We have a deep understanding of complex regulatory requirements and can assist you with valuable guidelines.
We specialise in providing tailored regulatory consulting services on both a national and international scale
Compliance services
At BlackSwan Regulatory and Compliance; we understand the challenges and issues that businesses face when it comes to meeting their regulatory requirements or getting regulatory approval on a new product and/or service.
We can assist you with:
Key regulations per countries/jurisdictions
UK
Anti-Money Laundering and Sanctions
FCA Authorisations
MiFIR. Transaction Reporting
Post-Brexit Solutions
Senior Managers and Certification Regime
United States
SEC Registration
CFTC/NFA
Securities
Investment adviser services
Broker-dealer
Compliance advisory
Compliance due diligence
Canada
ICAAP Reporting
Anti-Corruption and money laundering
Third Party Risk Management
Information governance
Trade sanctions services
Risk operating model
EU
Market abuse regulation
Trading
UCTIS
EMIR trade reporting
Securities financing transaction regulation and implementation support
Latin America
Certification holder services
Packing and labelling
Shipping and importation
Document translation
In country legal representation
Channel Islands
Anti-money laundering and sanctions
Financial crime
Compliance due diligence
Channel islands compliance services
Asia
Hong Kong regulation
Singapore regulation
Others
UCITS
Compliance and risk management services
