Compliance & Governance Solutions for Securities Dealers & Investment Advisors

Compliance Solutions for Securities Dealers & Investment Advisors

Compliance Challenges for Securities Dealers & Investment Advisors

Why Compliance is Essential for Securities Dealers and Investment Advisors

Securities dealers and investment advisors operate in a highly regulated environment where compliance with local and international standards is critical. With the increasing complexity of financial markets and growing regulatory scrutiny, maintaining compliance is not just a legal obligation but a vital part of protecting client trust, avoiding penalties, and ensuring sustainable growth.

In Seychelles and beyond, businesses must navigate stringent obligations under the AML/CFT Act, FATF standards, and regulations from authorities like the Financial Intelligence Unit (FIU) and Financial Services Authority (FSA).

At Albright Compliance Advisors, we empower securities dealers and investment advisors with tailored compliance strategies, governance frameworks, training programs, and audits to ensure their success.

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Common Challenges

Common Regulatory Challenges for Securities Dealers and Investment Advisors

Compliance

AML/CFT compliance and FATF alignment.

Licensing

Licensing and regulatory approvals for financial services activities.

Protection

Investor protection and fiduciary responsibilities.

Reporting

Accurate & on-time regulatory reporting and filing requirements.

Regular Audits

Regular compliance audits to meet regulatory expectations.

Compliance Solutions for Securities Dealers and Investment Advisors

for Securities Dealers and Investment Advisors

Albright Compliance Advisors provides comprehensive compliance, governance, auditing, and training solutions to help securities dealers and investment advisors meet their regulatory requirements while mitigating risk and fostering trust.

AML/CFT Compliance

Development of AML/CFT policies and procedures tailored to securities and investment operations.
Implementation of robust KYC and Enhanced Due Diligence (EDD) frameworks.
Risk assessments to identify vulnerabilities and strengthen controls against financial crimes.
Guidance on suspicious transaction reporting (STR) and ongoing monitoring of client accounts.

Compliance Audits

AML Audits: Comprehensive audits to evaluate the effectiveness of AML policies, KYC processes, and CDD frameworks in line with FATF and local regulations.
Regulatory Reporting Audits: Assessing the accuracy and timeliness of regulatory filings, including financial disclosures and investor reporting.
Governance Audits: Evaluating internal governance frameworks to ensure compliance with fiduciary and investor protection obligations.
Licensing Compliance Audits: Ensuring adherence to licensing conditions set by the Financial Services Authority (FSA) and other regulators.

Licensing & Regulatory Support

Assistance with obtaining and renewing licenses for securities trading and investment advisory services.
Liaising with the Financial Services Authority (FSA) and other relevant regulators.
Assistance with obtaining and renewing licenses for securities trading and investment advisory services.
Liaising with the Financial Services Authority (FSA) and other relevant regulators.

Compliance Training & Capacity Building

Customized training programs for securities dealers and investment advisors on AML/CFT compliance, risk management, and ethical conduct.
Workshops on investor protection, fiduciary duties, and market abuse prevention.
E-learning platforms for continuous compliance education and certifications.

Governance & Internal Controls

Structuring governance frameworks to ensure accountability and transparency in decision-making.
Developing policies for monitoring client transactions, conflicts of interest, and insider trading risks.
Regular compliance reviews to identify gaps and ensure adherence to regulations.

Regulatory Reporting Assistance

Assistance with filing mandatory regulatory reports, including financial disclosures and investor communications.
Ensuring compliance with tax obligations, including reporting under CRS (Common Reporting Standards).
Training staff on completing accurate and timely filings to meet regulatory deadlines.

Who We Serve

Securities Dealers & Investment Advisors We Support

We collaborate with a diverse range of securities dealers and investment advisors, including, but not limited to, the ones listed below.

Licensed

Licensed securities brokers and dealers.

Wealth Managers

Wealth management firms and financial advisors.

Investment Advisories

Firms in Seychelles and cross-border operations.

Asset Managers

Asset managers and fund management companies.

Private Equities

Private equity firms and institutional investors.

If your business operates in the securities or investment advisory sectors, we help you meet your compliance obligations, protect your reputation, and foster sustainable growth.

Case Study

Assisting an Investment Advisory Firm with AML Compliance

An investment advisory firm in Seychelles required support in implementing robust AML controls to meet local and international regulations. Albright Compliance Advisors developed a tailored AML/CFT framework, conducted staff training on KYC processes, and enhanced their transaction monitoring systems. The firm successfully passed its regulatory audit and strengthened client trust.

Overall Risk

- 0 %

Client Growth

0 %

Asset Growth

$ 0 M+

Award

Why Albright?

Why Securities Dealers and Investment Advisors Trust Our Expertise

Proven Industry Expertise

Extensive experience working with securities dealers & investment advisors in Seychelles & internationally.

Local & Global Reach

Expertise in Seychelles-specific regulations combined with international compliance standards like FATF & CRS.

Reliable Regulatory Insight

In-depth understanding of market regulations, investor protection obligations, and ethical conduct standards.

Tech-Driven Solutions

Leveraging compliance technology for audits, reporting, transaction monitoring, & risk management.

Quality Focused Training

Comprehensive programs designed to upskill securities and investment professionals on compliance best practices.

FAQ

Banking Compliance & Governance FAQs

Businesses must comply with AML/CFT regulations, licensing requirements, investor protection standards, and ongoing regulatory reporting obligations.

Training enhances staff awareness of AML/CFT regulations, ethical practices, and fiduciary responsibilities, reducing the risk of non-compliance and regulatory penalties.

We recommend quarterly or annual audits to ensure ongoing compliance and proactively address potential risks.

Get In Touch

Contact Us

Let’s get to talking. Send us a message and one of our representatives will be in touch to get the conversation started.

Office Mail

compliancesupport@albrightcompliance.com

Office Number

+248 43 73 540

Office Address

Beau Angalaise, Mahe, Seychelles