Optionality offers a range of regulatory and compliance services. Unlike pure-play “compliance” consultants, Optionality approaches regulatory compliance from the lens of “operational excellence”, which translates into improved scores during operational due diligence and capital inflows.
Optionality offers the following services:
- Licensing and Regulatory Support in all major jurisdictions, including the United States (SEC, CFTC, Treasury), EU (NPPR, AIFMD), UK (FCA), Hong Kong (SFC), Singapore (MAS), Australia (ASIC)
- Documentation and Gap Analysis (compliance manuals, stand-alone policies and procedures, review of existing documentation and gap analysis of same)
- Regulatory Audit (SEC)
- Ongoing and ad hoc regulatory advice
- Anti-Money Laundering (AML) and Know Your Customer (KYC) Training
- Bespoke services