Stratford Finance is an experienced partner trusted to navigate complex regulatory and compliance requirements. We offer high-level advisory services focused on risk management and ethical operations in the finance sector.
We also create well-functioning financial systems environments, that enable our clients to operate effectively, competitively, and securely.
Our turnkey solutions include:
We architect and work with clients to implement back and front-office trading operations, financial management and systems.
Our solutions encompass tailored processes, organisational structure, and IT support. We partner with clients to build robust operations with qualified personnel and internal governance controls in place.
We help ensure client organisations are “fit and proper” to meet regulatory requirements and provide solutions to bring them into compliance.
We navigate the growing complexity of regulation and evolving market rules (particularly regarding digital assets) for clients with diligent attention to financial asset management and cyber security pillars. Furthermore, we continually monitor processes and corporate structures and governance to remain compliant and competitive.
We are experts in crisis and issues management. We move swiftly to address the underlying problems and handle the communications with regulators, internal audiences, media and other stakeholders.
Our experience ranges from resolving issues related to licensing problems, corporate governance, and customer experience, to allegations of criminal behaviour. Protecting corporate reputations, enabling ongoing operations, and mitigating compliance risk is a top priority for all of us at Stratford Finance.
License application support
Stratford Finance provides comprehensive assistance for intermediaries to secure licenses for:
- securities dealing
- futures dealing
- leveraged foreign exchange trading
- advising on corporate finance
- securities and futures
- securities margin financing
In addition, we also provide automated trading services and asset management.
Stratford Finance has earned its sterling reputation in the compliance, regulatory and financial operations industry through a surgical approach to detail and a clients-first approach.
Delisting averted – Advisor to board of directors and acting CEO of a financial services company in the third stage of the delisting process. Cleaned up internal processes and led effective communications that convinced HKEX listing to allow relisting.
Compliance documentation for inspections and investigations – Compiled necessary documentation for a financial institution facing inspections or investigations and worked with the regulators to achieve a successful outcome.
Digital asset build-out – Comprehensive operations and compliance processes put in place for a leading digital asset management company originating from China and going global.
Trading platform compliance – Advised a leading digital assets exchange on its operations and processes to assure good governance and compliance.
Operations set up – Oversaw the creation from scratch of the compliance, legal, and audit departments of a global brokerage expanding into Asia.
Stock exchange – Built compliance department and provided foundations pursuant to SFC regulatory requirements.