Risk Management

We have a deep understanding of complex risk management requirements and can assist you with valuable guidelines. 

We specialise in providing tailored risk management consulting services on both a national and international scale

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Risk management  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

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