Case Studies
Selected engagements showing how we've helped investment firms build and operate compliant infrastructure. All cases are anonymised for confidentiality.
A fintech startup with an innovative fixed-income matching concept needed AFM authorisation to operate as a Multilateral Trading Facility. The founders had deep market knowledge but no regulatory infrastructure.
We designed the full organisational framework — governance structure, compliance function, risk management, rulebook, and IT documentation — and managed the AFM application process across all three assessment phases. Simultaneously, we set up the DNB prudential reporting framework.
A Class 2 investment firm operating derivatives trading needed to migrate from EMIR to EMIR Refit reporting by the April 2024 deadline. Their existing reporting was manual, error-prone, and dependent on one staff member.
We mapped all 203 reporting fields to source systems, selected and configured an automated reporting tool, built reconciliation procedures, and trained two additional staff members to operate and monitor the process.
A regulated trading venue had a basic surveillance system but was flagged by the AFM for insufficient detection capabilities and inadequate STOR procedures during a routine supervisory visit.
We redesigned the surveillance framework — calibrated alert parameters to the venue's actual trading patterns, built a structured alert investigation workflow, implemented insider list management, and created a documented STOR assessment and filing procedure.
Following the IFR/IFD transition, a portfolio management firm classified as Class 2 needed to establish quarterly prudential reporting to DNB. They had no XBRL capability and limited understanding of K-factor calculations.
We determined the applicable K-factors (K-AUM, K-CMH), built the data mapping from their portfolio management and accounting systems, selected and configured reporting software, and ran parallel filings for two quarters before go-live.