Legal & Regulatory Audit

Find the gaps before the regulator does.

You cannot fix what you have not measured. A regulatory audit establishes, at a point in time, exactly which obligations apply to your business and exactly where you stand on each — so the gaps surface in a working file you control, not in a regulator's notice or a buyer's diligence.

What it does

A structured review across three layers: the laws that apply to your entities, sectors, and geographies; your current compliance posture against each; and the material exposures that follow from any gaps. The output is a working file your board, auditors, and counsel can act on directly.

What you get

• An applicable-law register specific to your entities, sectors, and geographies
• A gap report with prioritised remediation, mapped to penalty and enforcement exposure
• Working papers retained for your statutory auditor and board
• A clear remediation path — which we can execute, or hand to your team

How it runs

Scope. We define the entities, sectors, and geographies in scope, and the depth of review.

Map. We build the applicable-law register — every Act, Rule, and Notification that binds the business.

Assess. We test current posture against each obligation and document the evidence.

Report. A prioritised gap report, ranked by exposure, with a remediation path.

Often the first engagement

For mid-market and enterprise clients, the audit is frequently the starting point — it establishes the baseline that the platform and recurring services then maintain.

Who it's for

Mid-market firms establishing a compliance baseline, and enterprises needing a group-wide view for the board, the audit committee, or a transaction.

FOR ENTERPRISE → /for-enterprise · FOR MID-MARKET → /for-mid-market