Financial Licensing Support

Be ready before you’re approved.
We prove your operating model works; people, systems, and evidence, so that go-live is controlled.

 

Who it’s for

Applicants approaching approval; newly licensed firms preparing to start regulated activity.​​

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Scope

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• People & Roles:

  • onboarding, training, attestations, delegated authorities, cover and succession.

• Systems & Data:

  • access rights (least privilege), reconciliations, logs, backups, change control, vendor monitoring.

• Controls & Evidence:

  • control walkthroughs, sampling packs, evidence register population, exception handling.

• Client Money/Assets (if applicable):

  • account setups, reconciliations, daily/periodic checks, breach procedures.

• Operational Resilience:

  • continuity plans, contact trees, incident playbooks, test records.

• Reporting & Returns:

  • calendar setup, draft submissions, MI packs for the board.

• Cutover Planning:

  • runbooks, rollback, hyper-care, early metrics.