Solutions
Defensible compliance for regulated financial services
You upload your procedures. GapSure checks them against verified regulatory knowledge, flags compliance gaps, and provides systems-generated improvements for your team to review. You get back stronger procedures with a full audit pack. Find gaps. Close them. Prove it.
Primary segments
High AML/CFT burden, deep operational touchpoints, and intense regulatory scrutiny. You see the most value here.
High AML/CFT and governance burden. Frequent regulatory updates. Policies that need to hold up at inspection, not just exist on a shelf.
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Compliance is daily work: onboarding, periodic reviews, monitoring, CDD/EDD. The gap between what regulation requires and what your procedures say is where risk lives.
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Additional segments
The same approach (gap analysis, suggested improvements, audit pack) shaped to the regulatory obligations you face.
You’ve scaled past ad-hoc compliance. Now you need procedures that hold up: built systematically, traceable to regulation, and ready for your first inspection.
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Suitability, conduct, Consumer Duty, and AML/CFT for private client firms. Advisory procedures that need to withstand scrutiny, obligation by obligation.
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AIFMD, MiFID II, prudential, and delegation oversight. Multi-framework complexity that grows with every fund and jurisdiction you add.
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IDD, product governance, and conduct obligations across multiple regulatory authorities. Complex distribution models need coherent, defensible coverage.
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Don’t see your firm type?
If your firm needs to close compliance gaps, strengthen procedures, and prove coverage with a full audit pack, GapSure can help. Let’s talk.