Licensing – Entry into regulated financial markets
1. Classification and significance
Licensing as a regulated financial institution is much more than an administrative process – it lays the foundation for a robust governance structure, an effective control system and sustainable compliance.
2. Our approach
We provide strategic support to companies entering regulated financial markets and bridge the gap between business model, regulatory requirements and operational implementation. In doing so, we combine regulatory expertise with a deep understanding of organisation, processes and IT.
3. Typical questions
- What licence is required for my business model?
- How can the application be prepared and structured efficiently?
- How can governance, risk and control structures be set up in a regulatory-compliant manner from the outset?
- How can a long-term sustainable compliance organisation be designed?
4. Further information
Our services and topics in the area of governance
- Optimisation of structural and procedural organisation as well as regulations for processing or avoiding findings
- Data cleansing and data sharing governance, including the development of control processes
- Optimisation of governance rules for management bodies
- KYC exchange & data sharing
- Risk governance: Optimisation of structural and procedural organisation as well as regulatory and control processes
- ICS: Implementation and expansion of an internal control system (EBA guideline)
- Governance benchmarking and best practices (data flows, processes, resource management, etc.)
- Data sharing governance (including KYC exchange service)
- Project management excellence in business consulting
- Optimisation of structural and procedural organisation as well as regulations for processing or avoiding findings
- Data cleansing and data sharing governance, including the development of control processes
- Optimisation of governance rules for management bodies
- KYC exchange & data sharing
Your contact
has many years of experience in compliance, regulatory consulting, and the optimization of control processes for financial institutions, and heads the Governance & Regulatory Advisory division.