About
Ocorian is a leading provider of regulatory compliance and anti-money laundering services worldwide. The firm helps clients navigate complex and evolving regulatory obligations, ensuring certainty and peace of mind. They support firms in the financial services sector, conducting health checks, performing risk assessments, and providing governance and training. Ocorian's innovative online compliance tool, The Gateway, allows firms to efficiently monitor and track compliance filings for employee personal account trading and gifts. Their expertise assists businesses in engaging in regulated activities more swiftly.
Related Vendors
Asgard Regulatory Group is a compliance consulting firm focused on broker-dealer and financial services regulatory requirements. The firm conducts interviews with management to identify applicable obligations and partners with clients to develop and implement compliance program implementation plans. Asgard supports firms subject to FINRA and SEC oversight, offering assistance with regulatory filings such as Form 13F submissions and Form ADV amendments, investment committee meetings, quarterly attestations, and both ongoing compliance programs and firm-specific audit and project-based needs. Services are delivered by regulatory compliance and risk management professionals who provide continuous, tailored support to broker-dealers, registered investment advisers, and private equity firms.
ABM Global Compliance (UK) Limited is a specialist consultancy providing cross-jurisdictional regulatory compliance, licensing, and advisory services to banking, financial services and capital markets institutions. Affiliated with ABM Consulting Group PLC (UK), the firm helps clients obtain FCA and e‑money licences and delivers legally robust, jurisdiction-specific compliance solutions. ABM Global offers guidance and operational support in AML and CTF measures including Know Your Customer (KYC) and ongoing monitoring, conducts audits, and provides training and regulatory support. Their expertise spans UK regulations and international standards such as MiFID II, Market Abuse Regulation, Prospectus Regulation, FATF Recommendations and BCBS principles to help institutions meet supervisory expectations and legal obligations.
Business Radar automates the risk profiling process, allowing businesses to screen for reputational, ESG, and compliance risks efficiently. With access to 154 million global sources, it continuously monitors adverse media, regulatory changes, and offers enhanced due diligence for Know Your Business (KYB) compliance. The platform supports banks and corporate compliance through entity verification, real-time data checks, and clear audit trails, ensuring users can focus on strategic tasks rather than repetitive ones. With user management features and Single Sign-On (SSO), it enhances security and usability for organizations aiming for streamlined compliance workflows.
