About
Albigeois Advisory Services
One Operating Model; Multiple Regulators
Most regulated managers run one compliance function in one jurisdiction. For the last five years I have run four in parallel: Switzerland under FinIA and FinSA, the United Kingdom under the FCA, Cyprus under CySEC, and Abu Dhabi Global Market under the FSRA.
Working four regimes at once teaches you something working one deeply does not: every regulator wants a compliance function, a competent executive and a clean audit trail. What differs is who supervises it, what may be outsourced, what remains personally attributable, and how much of it has to physically sit in the jurisdiction. That is where the cost is, and where the failures are.
Services
Past Projects
Four regulated entities,
one operating model
Built and ran the operations and compliance function across four licensed entities in Switzerland, the UK, Cyprus and ADGM - a single operating model with four compliance functions hanging off it.
Cross-border fund
distribution
Managed the outbound passporting of an Irish UCITS into the UK, Switzerland and Cyprus: host-state notification across three regimes with a fourth as home regulator.
External asset manager onboarding
Built a group onboarding framework for private banking counterparties across Europe, the Gulf and Asia, replacing repeated ad-hoc document cycles with a single maintained pack.
Harold Alby
Contact
Albigeois Advisory Services
48 rue Lafaurie de Monbadon, RDC,
33000 Bordeaux, France