Pillar 4 · Compliance & AI advisory
Breach-reporting readiness, Best Interests Duty, DDO and ongoing-fee/FDS support — powered by the group’s own compliance tooling and AI systems you own.
Conduct obligations keep expanding — reportable-situations (breach) reporting, Best Interests Duty for brokers and advisers, design-and-distribution obligations, ongoing-fee arrangements and fee disclosure. Firms either drown in spreadsheets or pay to rent someone else’s compliance software and still do the work themselves.
Your conduct and reporting obligations are readable, evidenced and supported by tooling the firm owns rather than rents — so compliance compounds instead of recurring as a bill.
How we work / our basis
Compliance-support and advisory work coordinated with independently licensed specialists where a matter requires it. It is not legal advice and does not guarantee a regulatory outcome. AI tooling is built to support judgement, never to replace a licensee’s responsible-manager decisions.
A confidential conversation with a CPA who works only with licensed financial services firms. No obligation, no product pitch.