Regulatory Readiness Audit
Be audit-ready before you raise, launch, or expand
Raising a round, entering a new market, or onboarding a sponsor bank all invite a level of scrutiny that most teams aren't ready for. We audit your compliance and technical posture before someone else does, so you walk into diligence with confidence instead of scrambling to patch gaps.
Pre-Raise & Due-Diligence Readiness
Pass the Diligence: Investors and acquirers increasingly diligence AML/CTF and data controls. We make sure your answers are airtight.
What we do: Review KYC/KYB, transaction monitoring, reporting, and data lineage against what sophisticated buyers and investors actually ask for.
The Result: A defensible compliance narrative that supports your valuation instead of undermining it.
Pre-Exam / Audit Readiness
No Bad Surprises: We simulate the regulatory and sponsor-bank review before it happens.
What we do: Test your controls, sample your reports, trace your data end-to-end, and identify findings that would surface under scrutiny.
The Result: A prioritized list of issues with owners and timelines, before a regulator or partner finds them for you.
Gap Analysis & Remediation Roadmap
From Findings to Action: An audit is only useful if it ends in a plan. We deliver a clear, sequenced roadmap you can execute or hand to your team.
What we do: Score each gap by regulatory risk and effort, then map technical and policy fixes into milestone-driven workstreams.
The Result: A board-ready readiness report and a realistic path to close every material finding.
What's Included
- Full review of KYC/KYB, monitoring, screening, reporting, and record-keeping.
- Data pipeline and audit-trail validation from source system to filed report.
- Findings report with risk ratings, evidence, and remediation guidance.
- Executive briefing and roadmap suitable for your board, investors, or sponsor bank.
Already failed an audit or facing a filing backlog? See our Rapid Remediation service.
Want to know where you stand before the next round or review?