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Compliance Documentation and Governance Packages for FinTech and Payment Institutions

Payment institutions and FinTech firms operating or preparing to operate within the UK, European Union and Switzerland face complex and evolving regulatory environments.

Lynsora develops structured compliance documentation and governance packages with reference to commonly observed regulatory frameworks across FCA, EU and FINMA environments — supporting internal consistency, accountability and practical implementation.

Each package corresponds to a specific stage of organisational and compliance maturity, from early structuring to the development of more advanced documentation and governance frameworks.

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Tier 1

Starter Compliance Review

Diagnostic assessment · entry-level engagement

 

A structured compliance gap analysis of one core AML, risk or governance document — or of the underlying operating model — with reference to commonly observed regulatory frameworks applicable to the business.

 

Suitable for firms that:

  • are in early-stage or pre-operational phases

  • rely on partner banks or regulated third parties

  • operate embedded finance or API-based models

  • are expanding operations across UK, EU or Swiss markets

  • require clarity on compliance risks and documentation gaps before developing a full framework

 

What you receive:

✓ Written diagnostic report (PDF)
✓ Key compliance gaps identified with reference to applicable regulatory frameworks
✓ Priority risk areas ranked by significance
✓ Jurisdiction-specific observations (UK / EU / Switzerland)
✓ Practical structuring recommendations and indicative next steps
✓ One revision round included

 

Delivery

2–3 weeks from completion of the intake questionnaire

Format

PDF report · written delivery only · no calls required

Jurisdictions

UK · EU · Switzerland (one or more)

Fee

Upon request

Tier 2

Compliance Foundation

Structured AML and compliance documentation framework

A structured AML and compliance documentation framework developed based on the firm’s operating model, customer base and jurisdictional footprint.

 

Designed to support day-to-day operations, internal consistency and third-party due diligence processes. Typically represents the first structured documentation framework for firms moving beyond fragmented policies.

 

Suitable for firms that:

  • operate or are preparing to operate within regulated financial environments

  • require structured internal accountability and control logic

  • require a coherent baseline compliance documentation framework

  • are transitioning from fragmented policies to a structured documentation approach

 

Areas covered:

  • AML/CTF Policy

Primary framework document incorporating relevant risk considerations and internal control logic

  • Risk Assessment

Firm-wide risk assessment covering business model, customers, products and jurisdictions

  • CDD / EDD

Customer due diligence and enhanced due diligence procedures, including risk-based logic

  • Screening

PEP and sanctions screening procedures

  • Monitoring

Transaction monitoring and ongoing review documentation

  • Reporting

Internal reporting, escalation and record-keeping procedures

 

The exact scope and document set are defined in writing prior to engagement, based on the completed intake questionnaire.

 

Delivery

4–6 weeks from completion of the intake questionnaire

Format

Word / PDF · written delivery only · no calls required

Jurisdictions

UK · EU · Switzerland (tailored per jurisdiction or unified)

Revision

One structured revision round included

Fee

Upon request

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Tier 3

Advanced Compliance Architecture

Advanced compliance documentation and governance architecture for scaling firms

An advanced AML, governance and control documentation framework for established payment institutions operating at scale or expanding across jurisdictions.

 

Builds on an existing foundation — or establishes one — and develops it into a structured and scalable compliance documentation and governance environment with clear accountability and consistent control logic.

 

Suitable for firms that:

  • are scaling across products, customer segments or jurisdictions

  • operate within regulated financial environments

  • require structured and consistent compliance documentation and governance frameworks

  • require enhanced internal control and accountability structures

  • are undergoing increased external scrutiny from partners, banks or stakeholders

 

Areas covered:

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  • Full AML Framework

Includes all Foundation-level documentation, updated or newly developed as required

  • Governance

Compliance function structuring, roles, accountability mapping and internal control architecture

  • Roadmap

12-month compliance roadmap with prioritised structuring actions and milestones

  • Supervisory Context

Documentation structured with reference to commonly observed supervisory practices

  • Cross-border

Jurisdictional control mapping across UK, EU and Switzerland where applicable

  • Strategic Structuring Notes

Written implementation guidance and structured advisory summaries

 

The exact scope is defined in writing prior to engagement, based on the completed intake questionnaire.

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Delivery

6–8 weeks from completion of the intake questionnaire

Format

Word / PDF · written delivery only · no calls required

Jurisdictions

UK · EU · Switzerland

Revision

Two structured revision rounds included

Fee

Upon request

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