Compliance assessment

Evaluate your regulatory readiness step by step.

1Scope
2Audit
3Report

Define your operational scope

Choose the licensed activities your entity performs. The compliance matrix is built from this selection.

All activities are pre-selected — deselect any that don’t apply to your firm

DealingBuying, selling, or trading securities as principal or agentCustodySafekeeping and administration of securitiesManagingManaging securities including investment management and fund operationsArrangingArranging deals in securities and credit arrangementsAdvisingAdvising on securities transactions

5 activities selected

Step 1 of 3 · 37 checks · ~10 min