Compliance Audits & FSC Licence Defence
Regulatory scrutiny leaves no margin for administrative errors. For Management Companies, funds, and financial institutions, enforcement actions exploit the gap between written policies and actual daily execution.
Recover embeds directly within teams to clear due diligence backlogs, overhaul AML frameworks, and defend operating licences.
Generic, off-the-shelf policies without proof of live operational execution invite public censure, administrative fines, and immediate licence suspension.
Lapses in ongoing due diligence, spanning UBO tracing, PEP screening, and Source of Funds verification, remain the primary trigger for regulatory penalties during on-site examinations.
Vague escalation channels between MLROs, executive board members, and regulatory authorities directly expose leadership to personal liability.
We put your teams through the real thing: a simulated FSC or FIU visit, on-site. This mock audit digs through your complex case files and GoAML records to expose traceability gaps, and we roll out an emergency remediation plan to close them before the regulator ever shows up.
We rebuild your internal procedures manuals and screening policies from scratch to meet FIAMLA’s strict requirements and FATF standards — recalibrating your Business Risk Assessment and Client Risk Assessment tools, and tightening the delegation chain, signing authorities, and second-line controls.
When sanctions loom or suspension is on the table, we take the lead on every exchange with the supervisory authority — drafting formal responses to Deficiency Letters, building the Remediation Plan, and negotiating its timeline directly with the regulator.
Nineteen years of field experience in the Ebene financial hub give us direct insight into local regulatory expectations. Engagements are led personally by credentialed senior figures (FCCA, MCSI, Certified Wealth Practitioner, Fellow MIoD) operating under strict professional secrecy.