Risk, Compliance & FICA Advisory
Structured legal support for businesses that need sound compliance processes, properly aligned documentation, and practical guidance on operational risk.
Who this service is for
This advisory offering is designed for businesses that require legal structure, compliance clarity, and documents that are workable in practice.
Start-ups
For founders who want to establish compliant processes and documents correctly from the outset.
Growing businesses
For businesses that have outgrown informal systems and need proper internal structure and legal oversight.
Professional and regulated sectors
For businesses that require more careful attention to onboarding, due diligence, internal controls, and regulatory exposure.
Scope of services
The focus is on practical legal compliance support, tailored to the realities of your business operations.
Compliance and internal process support
- FICA-related onboarding guidance and document alignment
- Client due diligence process review
- Internal compliance checklists and procedural support
- Policy drafting and policy review
- Operational risk identification and practical recommendations
Legal and commercial documentation
- Mandates, engagement terms and client-facing documentation
- Business set-up support for legal and professional structures
- Contract and policy alignment
- Governance and legal risk advisory
- Review and refinement of existing documentation
Fees
The fee structure below provides a general indication of scope. A tailored quote may be required where the mandate is broader, more technical, or document-heavy.
Starter advisory
- Initial assessment of compliance requirements
- Review of current processes or gaps
- Foundational recommendations
- Basic document and process guidance
Comprehensive advisory
- Business-specific compliance review
- Drafting or revision of core policies and documents
- FICA and onboarding framework support
- Risk and process recommendations
- Follow-up refinement
Ongoing advisory
- Monthly compliance and legal advisory support
- Document updates and refinement
- Queries arising in the ordinary course of business
- Light-touch ongoing risk support
Fees exclude extensive bespoke drafting, urgent turnaround work, and large-scale remediation projects unless specifically quoted for.
How the process works
The aim is to identify the legal and compliance issues that actually matter, then address them in a structured and workable way.
Initial consultation
We identify the nature of your business, the applicable risk areas, and the documents or processes currently in place.
Assessment and review
Existing documentation and operational gaps are assessed to determine what requires attention, revision, or implementation.
Advisory and implementation
You receive structured legal input, practical recommendations, and revised or drafted documentation where required.
Frequently asked questions
Common queries in relation to compliance and advisory mandates.
Is this service only for large businesses?
No. This service is suitable for start-ups, small businesses, professional practices, and growing businesses that require properly structured legal and compliance support.
Can existing policies or documents be reviewed instead of drafted from scratch?
Yes. In many matters it is more efficient to review, amend, and strengthen existing documentation than to redraft everything from the beginning.
Do you provide once-off advice as well as ongoing support?
Yes. Some businesses require a once-off assessment and document review, while others require ongoing advisory support as their operations develop.
Will the service be tailored to the specific nature of my business?
Yes. The approach is business-specific. The applicable regulatory exposure, operational structure, and document requirements differ from one business to another, and the advisory process is structured accordingly.
Need legal compliance guidance for your business?
If you require structured support with compliance processes, internal documentation, or FICA-related business obligations, you may get in touch to arrange an initial consultation.