Regulatory Documentation
Documentation Health Check
For PSP · EMI · CASP · FinTech
A structured review of existing compliance and governance documentation to identify inconsistencies, incomplete documentation, outdated content and improvement opportunities, based on the agreed scope and client-confirmed requirements.
The service is limited to documentation review and does not constitute a regulatory compliance assessment, legal review, statutory audit or assurance engagement.
Areas covered
-
Documentation Gap Assessment
Structured review of the existing compliance documentation framework to identify missing, outdated or incomplete documentation.
-
Consistency & Governance Review
Assessment of consistency across policies, procedures and governance documents, including allocation of responsibilities, internal references and document alignment.
-
Regulatory Documentation Mapping
Mapping of existing documentation against regulatory requirements identified and confirmed by the client's responsible specialists, highlighting documentation-level gaps, overlaps and inconsistencies.
-
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
-
Documentation Remediation Plan
Preparation of a structured documentation roadmap addressing identified deficiencies and prioritising remediation activities.
-
Policy & Procedure Updates
Revision or drafting of compliance policies, governance documents and operational procedures based on identified documentation gaps.
-
Governance Documentation Alignment
Updating cross-references, governance responsibilities and document structures to improve consistency across the compliance framework.
-
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 Governance & Operational Documentation
For CASP · VASP
A structured documentation package supporting EU crypto-asset businesses in preparing, reviewing and updating governance, AML/CFT and operational documentation in connection with the Markets in Crypto-Assets Regulation (MiCA).
The service covers documentation work associated with established CASP operations, client-confirmed regulatory requirements, internal documentation updates and matters identified through supervisory feedback. It does not include legal interpretation, authorisation services, regulatory representation or independent compliance certification.
Areas covered
-
Documentation Requirements Mapping
Structured mapping of existing governance, AML/CFT and operational documentation against requirements identified and confirmed by the client's responsible specialists, including relevant MiCA and EU Transfer of Funds Regulation documentation workstreams.
-
Core Documentation Framework
Preparation or restructuring of key governance documentation, including programme of operations, AML/CFT documentation, complaints handling procedures and supporting internal policies.
-
Travel Rule Documentation
Preparation of written procedures addressing originator and beneficiary information requirements, self-hosted wallet verification and related operational controls.
-
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