Digital Assets Products & Market Infrastructure
CONSULTING SERVICES
Regulatory confidence through governance and documentation.
Regulatory Strategy & Governance
Approvals strategy, supervisory procedures, audit readiness, and evidence frameworks.
OVERVIEW
SEDA's Regulatory Strategy & Governance practice helps financial institutions navigate regulatory relationships, approvals processes, and governance challenges with a defensible, evidence-based approach.
Our team includes former regulators, compliance executives, and legal counsel who understand how supervisors think, what they look for, and how institutions can build durable regulatory standing.
We work across strategic regulatory positioning, governance design, audit and examination preparation, and supervisory procedure documentation — ensuring clients can demonstrate compliance with clarity and confidence.
WHAT WE DELIVER
Regulatory approvals strategy and submissions
Supervisory procedure documentation
Examination and audit readiness assessment
Evidence framework design and documentation
Board and senior management governance review
Regulatory relationship management support
Typical deliverables
What to expect from an engagement.
01
Regulatory Strategy Memorandum
A structured approach to regulatory approvals, supervisory positioning, and engagement strategy tailored to the client's regulatory environment.
02
Governance Review Report
Assessment of board and senior management governance structures against regulatory expectations and industry best practice.
03
04
Supervisory Procedure Documentation
Drafting or review of supervisory procedures, policies, and controls documentation to support regulatory defensibility.
Examination Readiness Report
Gap analysis and remediation roadmap in preparation for regulatory examination, audit, or supervisory review.
REGULATORY BODIES COVERED
Former regulators on your side.
Our regulatory team includes former senior examiners, policy staff, and enforcement attorneys from the SEC, FINRA, FCA, and OCC. They understand regulatory expectations from the inside — and how to position institutions for durable supervisory standing.
SEC and FINRA (US broker-dealers)
OCC and Federal Reserve (US banks)
FCA and PRA (UK)
ESMA and NCAs (EU)
CFTC (derivatives and commodities)
State-level regulators