Practice area
GlobalTax advises on the regulatory framework for supervised activities, especially in the securities market. We step in at stages where getting the regulatory structure right is key to the viability, sustainability and growth of the business.
Approach
Regulatory decisions do not only determine current compliance, but also an organisation’s operational and strategic limits.
Scope
The service covers both the analysis and the implementation of the regulatory framework:
01
Analysis of regulated activities
02
Determining the licences required
03
Advice on authorisation processes
04
Legal structuring for regulatory compliance
05
Assessment of applicable regulatory requirements
06
Coordination with regulators and external advisors
07
Ongoing compliance support
When it makes sense
This advice is especially relevant when:
If your situation calls for analysis, judgement and responsibility, we can assess it.
Frequently asked questions
It includes the analysis of the regulatory framework, determining the licences required, legal structuring and support throughout the authorisation and compliance processes.
It is not just about obtaining a licence, but about correctly defining the legal and regulatory structure that will shape how the business operates in the long run.
Mainly financial, investment, brokerage or securities-related activities, although it may extend to other regulated sectors.
Yes. Our advice covers securities-related activities and other areas subject to regulatory supervision.
Yes. We analyse the business model to determine whether any regulation applies and what the correct framework is.
Yes. We support the whole process, from the strategic definition to dealing with regulators and meeting the requirements.
Yes. We can also assist with ongoing regulatory compliance once the licence has been obtained.
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Read articleContact
The process starts with a free initial assessment. From there we define the scope, the type of engagement and the fee arrangement. We reply within one business day.
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