Financial Services

Obséy’s areas of expertise

Our capabilities are wide ranging, meaning we are able to provide comprehensive services in respect of an organisation’s regulatory framework, governance and internal controls, and data assurance, whether in traditional financial services businesses or in the emerging FinTech sector. These capabilities include:


Regulatory framework services

  • Authorisation and licence amendments
  • Fitness and probity
  • Pre-inspection risk assessments
  • Compliance framework design, implementation and review
  • Anti-money laundering and counter-terrorist financing requirements
  • Training, education and coaching


Governance and internal controls

  • Internal controls
  • Internal audits
  • Board review and evaluation
  • Organisational structure and terms of reference reviews
  • Code of conduct and code of ethics
  • Conflicts of interest – identification and management
  • Special investigations and effective case management
  • Investigation and internal audit training
  • White-collar crime prevention, mitigation, detection and investigation


Data Services

  • GDPR and data regulation
  • Data supply chain integrity
  • Data asset protection
  • Market Data Compliance