Regulatory Compliance Risk Management

Molfar Intelligence Firm provides a comprehensive approach to managing regulatory compliance and risk management. Investment firms face stringent and constantly evolving regulatory requirements. Non-compliance can result in significant financial losses, fines, reputational damage, and even the loss of a license. 

Understanding Regulatory Compliance and Risks

Our risk and compliance services help investment funds address such needs as:

• Regulatory Requirements Analysis. Molfar researchers conduct continuous monitoring of legislative changes and updates. That’s how we help clients stay informed about regulatory compliance risk management standards. 
• Compliance Risk Assessment. Our audits are aimed at identifying gaps in internal procedures and ensuring their alignment with regulations (e.g., MiFID II, AIFMD, GDPR).
• Policy and Procedure Development. We focus on helping implement compliance standards at all stages of investment operations.
• Staff Training. Our experts are preparing the teams to operate under current regulatory requirements.
• Compliance Audit. The Molfar team handles the review of the investment strategies and documentation to ensure adherence to legal and regulatory frameworks.
• Reporting Preparation. We help introduce automation processes for accurate and timely submission of documents to regulators.

Our Regulatory Compliance Services

Molfar Intelligence Firm’s regulatory compliance services are tailored to meet various client requests related to adhering to the law in business. 

Regulatory Compliance Risk Management for Cybersecurity 

We aid investment companies in following global cybersecurity rules such as GDPR and SEC. Such measures are necessary for such needs as assessing the IT infrastructure and adopting the incident response protocols.  

Regulatory and Compliance Risk Assessment for Third-Party Vendors 

Our risk and compliance consulting is beneficial for verifying whether the internal processes of counteragents or other partners follow the legal requirements. 

Cross-Border Regulatory Compliance Services 

The Molfar research team can help you navigate the complexities associated with entering new markets with different local laws, doing cross-border transactions, or identifying jurisdiction conflicts. 

Our Approach

Our Regulatory and Compliance Risk Management Process

Molfar research team's regulatory compliance risk assessment approach differs depending on the type of challenges faced by our clients. 

In order to start our partnership, provide the following details about your company:

1. Name of the business or the investor; 
2. Context about the market; 
3. The upcoming deal’s conditions. 

See Related Cases

You can see the benefits of the regulatory compliance risk management based on the experience of our past clients. 

Finance Regulatory Compliance Case 

Request: Regulatory compliance risk assessment in the context of an investment.

Our client was AIN.ua, Ukraine’s leading media outlet covering technology, business, startups, investments, and entrepreneurship, with over 25 years of experience.

Solution: We conducted a thorough investigation into the investment deals related to a specific startup. Molfar Intelligence Firm performed an in-depth analysis of the company’s public statements, verified funding sources, and examined the structure of the investment deal.

Result:

• We discovered that the investors were affiliated with the startup’s founder.
• Our researchers found evidence of debt obligations tied to these affiliated investors, casting doubt on the startup’s claimed valuation.

Client’s Decision: Publication of a correction to address the previous misleading information. As a result, AIN.ua was able to avoid reputational risks and maintain its image as a trustworthy source of investment-related news.