Regulatory Documentation
Documentation Health Check
For PSP · EMI · CASP · FinTech
A structured documentation assessment designed to evaluate the overall consistency, completeness and governance of an organisation's compliance documentation.
The package is intended for firms preparing for regulatory engagement, internal governance improvements or documentation enhancement projects, providing an independent assessment without rewriting existing documentation.
It focuses exclusively on documentation review and does not constitute legal advice, regulatory audit or assurance services.
Areas covered
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Documentation Gap Assessment
Structured review of the existing compliance documentation framework to identify missing, outdated or incomplete documentation.
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Consistency & Governance Review
Assessment of consistency across policies, procedures and governance documents, including allocation of responsibilities, internal references and document alignment.
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Regulatory Documentation Mapping
High-level mapping of existing documentation against the applicable regulatory framework to identify documentation gaps and overlapping content.
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Improvement Roadmap
Prioritised recommendations outlining documentation improvements, restructuring opportunities and suggested next steps.
Delivery
Approximately 2–3 weeks following completion of the intake questionnaire and receipt of documentation.
Format
Word / PDF
Written delivery only
Fee
Upon request
Regulatory Remediation Documentation
For PSP · EMI · CASP · FinTech
A structured documentation package supporting organisations that need to address documentation deficiencies identified through internal reviews, external assessments or regulatory observations.
The package focuses exclusively on the preparation, revision and restructuring of compliance documentation and does not include regulatory correspondence or legal representation.
Areas covered
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Documentation Remediation Plan
Preparation of a structured documentation roadmap addressing identified deficiencies and prioritising remediation activities.
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Policy & Procedure Updates
Revision or drafting of compliance policies, governance documents and operational procedures based on identified documentation gaps.
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Governance Documentation Alignment
Updating cross-references, governance responsibilities and document structures to improve consistency across the compliance framework.
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Documentation Completion
Preparation of missing documentation required to support a complete and coherent compliance documentation framework.
Delivery
Approximately 3–5 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request
MiCA Transition Documentation Package
For CASP · VASP
A structured documentation package supporting crypto-asset service providers preparing for MiCA authorisation, remediation following regulatory feedback or completion of transition documentation requirements.
The package focuses on the development and alignment of internal governance documentation supporting MiCA expectations and associated Travel Rule obligations.
It complements existing compliance programmes and does not replace legal advice or regulatory representation during the authorisation process.
Areas covered
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Regulatory Documentation Assessment
Structured review of existing governance, AML/CFT and operational documentation against MiCA documentation expectations and Travel Rule requirements.
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Core Documentation Framework
Preparation or restructuring of key governance documentation, including programme of operations, AML/CFT documentation, complaints handling procedures and supporting internal policies.
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Travel Rule Documentation
Preparation of written procedures addressing originator and beneficiary information requirements, self-hosted wallet verification and related operational controls.
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Documentation Alignment
Review and harmonisation of documentation to improve consistency across governance documents, internal procedures and operational responsibilities.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request