Regulatory and Compliance

In a world where business transcends borders, lawyers and attorneys at Aurum excel in navigating cross-border regulations and decoding complex legal frameworks across jurisdictions. Our approach goes beyond mere compliance; it’s about creating intrinsic value and fostering trust in your business through strategic efforts.

Cross-Border and International Compliance

With a deep understanding of both multinational regulations standards and sector-specific compliance requirements, our team crafts customised solutions that support your global business strategy. We recognise the importance of operational efficiency and, where appropriate, strategically address ways to streamline regulatory processes and reduce compliance stress for your business, thereby reducing burdens while maintaining compliance.

Aurum’s proactive stance keeps us at the forefront of regulatory changes, equipping our team to offer insightful guidance that prepares your business for future challenges. We advocate for your interests, ensuring that your business is not just compliant today but also prepared for tomorrow. This forward-thinking approach provides valuable foresight into regulatory trends, keeping you a step ahead in a constantly evolving global market.

Partner with Aurum for a legal service that excels in the complexities of international regulations and is deeply committed to your long-term success. With us, you gain more than a legal advisor; you gain a strategic ally in navigating the global business landscape, adept at both adhering to and efficiently navigating the regulatory frameworks essential to your business success.

Selected services

Building upon our commitment to your business’s global compliance and regulatory needs, we offer a range of specialized services. These include comprehensive compliance audits and risk assessments to pinpoint and mitigate potential risks, tailored multinational regulatory strategies to navigate complex international laws, and sector-specific compliance advisory to ensure your operations align with industry standards. Each service is designed to uphold the highest standards of compliance while fostering operational efficiency and strategic growth.

Finance and FinTech compliance

Regulatory advice and strategic guidance for financial institutions and FinTech companies.
Development of cross-border regulatory and compliance strategy. Navigating international financial regulations and managing compliance across different regulatory environments.
Compliance services covering electronic money regulations, payment services directives, consumer protection laws, and applicable international regulations.
Data protection compliance, advice on cross-border operations with personal data.
Assistance with obtaining and maintaining necessary licences and government authorisations. Guidance through and facilitation of the registration process in various jurisdictions, engaging local service providers and overseeing their work.
Crafting comprehensive AML/CTF and compliance policies and procedures, implementing effective compliance controls within the organisation.
Conducting internal compliance audits and management of compliance breaches and crises related to compliance issues.

Web3 and Blockchain Compliance

Regulatory advice and strategic guidance for Web3 projects and blockchain companies, including developers of blockchain protocols, DeFi platforms, dApp operators, layer-one/two blockchain networks, exchanges, infrastructure providers, market makers, and DAOs.
Advising on the applicability and implications of the Virtual Asset Service Provider (VASP) regulatory frameworks, as well as traditional financial, investment, and securities laws and regulations.
European Markets in Crypto Assets (MICA) Regulation compliance, regulatory strategy, obtaining licences, government relationship management.
Development of cross-border regulatory and compliance strategy. Navigating international financial regulations and managing compliance across different regulatory environments.
Designing compliance strategies aimed at mitigating regulatory implications and reducing the overall compliance burden.
Assistance with obtaining and maintaining necessary licences and government authorisations. Guidance through and facilitation of the registration process in various jurisdictions, engaging local service providers and overseeing their work.

Investment fund compliance

Assessment of objectives and fund strategy, determining the most appropriate regulatory framework and jurisdiction for the fund establishment.
Formation and registration of investment funds, including hedge funds, private equity funds, and mutual funds.
Regulatory compliance, crafting comprehensive AML/CTF and compliance policies and procedures, implementing effective compliance controls within the fund.
Developing and implementing compliance policies and procedures tailored to the specific needs of the client, facilitating their implementation.
Coordinating with regulatory bodies and managing communications to address any inquiries or issues that may arise.
Reviewing marketing materials and investor communications to ensure they are compliant with securities regulations and do not mislead potential investors.
Ongoing advisory services for fund managers, including compliance training, annual reviews, and assistance with regulatory examinations.

Securities compliance

Ensuring compliance for securities and convertible instruments offerings.
Advising on the offering of regulated instruments.
Identifying applicable regulatory frameworks and advising on necessary compliance requirements.
Advising on exceptions and simplified offering procedures available to issuers, and assisting with the execution of relevant requirements and the submission of necessary filings.
Developing and implementing compliance policies and procedures tailored to the specific needs of the offering.
Conducting due diligence to verify the accuracy of disclosures and compliance with investment criteria.
Coordinating with regulatory bodies and managing communications to address any inquiries or issues that may arise during the offering process.
Reviewing marketing materials and investor communications to ensure they are compliant with securities regulations and do not mislead potential investors.
Evaluating and advising on the implications of international regulations for cross-border offerings, including data protection and privacy considerations.

Other details

We provide comprehensive guidance on compliance matters, helping businesses adhere to regulations while pursuing their strategic objectives. Explore our achievements through our significant cases, delve into our insights via publications, and witness the recognition we've received for our unwavering commitment to regulatory excellence.

Cases and highlights

Advised a $15 million mutual fund operator on legal structuring and commercial aspects of fund operations, assisted in securing the necessary government registrations and authorisations.
Advised a financial group on launching a neobank in the MENA region, associated regulatory and compliance obligations, and requirements for operating as an alternative finance institution in the target markets.
Developed a comprehensive regulatory strategy for a DeFi protocol developer. Leveraging differences in regulatory frameworks, Aurum strategically segmented the project into several components placed across different countries, minimising exposure to stringent regulations and licensing requirements.
Guided a European outsource IT company with more than 800 employees through the process of becoming GDPR compliant.
Advised an EU-based alternative finance company on regulatory and compliance implications, identified the most suitable and efficient regulatory frameworks for their anticipated operations, and assisted in securing the necessary government licences.
Acted as legal advisor to a crypto market maker on regulatory matters, designed a compliance strategy that enabled the client to operate in an unregulated manner, and implemented the necessary legal instruments.
Served as legal counsel to a digital asset (cryptocurrency) exchange operator on its entry into the LATAM market. Crafted a comprehensive compliance strategy for initiating operations in targeted jurisdictions, established a local corporate structure for the exchange, and facilitated the acquisition of the necessary government licences and registrations.
Advised a blockchain protocol developer on the regulatory aspects of offering and issuing a governance token according to a jurisdiction-based approach. Assessed the token design and tokenomics to identify regulatory risks, and suggested steps to mitigate them. Advised on token vesting terms and distribution mechanics.

Get in touch:

We welcome your inquiries and are here to assist you with your legal needs. Feel free to email us at [email protected] or connect with the firm on WhatsApp or Telegram for immediate assistance.

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