Vigilant Regulation Oversight to Meet Industry-Best Compliance Standards
ALL JURISDICTIONS | ALL CIRCUMSTANCES | ALL STRUCTURES
Compliance and regulations (C&R) is a complicated and recurring pain point stakeholders cannot ignore. Why? Transgressing the rules and guidelines can result in heavy monetary penalties, suspensions, losing one’s license to conduct business and even criminal prosecution. No entity or equity holder can escape it, from corporations (enterprises, SMBs and startups) to funds (hedge, private equity and stock exchange registered) in widespread locations (across continents, mainlands and islands).
The complexity expands significantly when diverse nationalities enter the picture and cross-international transactions are the order of the day. Allowing us to spearhead your C&R program is a strategy-protection decision you’ll never regret. We are licensed and regulated to provide comprehensive compliance across multiple jurisdictions, creating exceptional opportunities for your team to put its best foot forward. See below how you can leverage the XCM advantages.
The XCM Compliance and regulation services advantage that Gives You an Edge over the Competition.
Already regulated firms fit our approach like a hand in a glove because they know staying on the straight and narrow needs pedantic monitoring. As a result,
- We leave no gaps in our coverage, embracing regulation and compliance services with broad dimensions.
- We’ve built our “Business As Usual” (BAU) compliance monitoring, consistent guidance and supplementary input to surpass the most demanding client’s expectations.
For firms yet to be regulated, there’s no better than the XCM team in your corner. We handle every aspect from A to Z to secure registrations, authorizations, licenses and more.
We harness modern methodologies and expertise to ensure optimal:
- Transparency.
- Investor protection.
- Money laundering safeguards.
- Institutional integrity and authenticity.
Our connection with international cultures, European (through Curaçao’s inclusion in the Dutch Kingdom and legal system), Latin American and North American – provides a springboard to integrate clients with:
- All managed companies (Mancos), including AIFs (Alternative Investment Funds).
- Relevant regulatory bodies, such as:
- In the US – The Securities and Exchange Commission (SEC) and FINRA (Financial Industry Regulatory Authority). This pair – the primary government watchdog and non-governmental body – regulate brokerage firms and stockbrokers in the United States.
- In Cayman – CIMA (Cayman Islands Monetary Authority).
- In Canada – OSC (The Ontario Securities Commission)
- In BVI the FSC (Bristish Virgin Islands Financial Services Commission)
- In Latin America – Central Banks.
