FinTech
Compliance and Governance Reset for a FinTech
Rebuilt the compliance, secretarial, and reporting stack to meet regulator expectations ahead of a strategic partnership.
Cleared regulatory review on first pass
Startup & Tech
FinTech
Regulated financial products where the compliance stack is the business model, not overhead.
In FinTech the regulator is a permanent stakeholder. Licensing, capital adequacy, KYC and AML obligations, and the RBI's evolving position on lending and payments are not a compliance line item — they decide which products are legal, which partnerships are possible, and what the business is worth.
That makes governance a valuation input rather than a cost. A FinTech that cannot evidence its compliance posture is uninvestable to institutional capital regardless of growth, and the gap usually surfaces at exactly the wrong moment: mid-diligence, with a term sheet on the table.
We rebuild the compliance, secretarial, and reporting stack to the standard a regulator or an acquirer expects, and then run the capital process against a business that can withstand the question.
How we work in FinTech
What the engagement usually looks like
Compliance and governance reset
Secretarial, regulatory reporting, and board governance rebuilt to institutional standard before diligence, not during it.
Licensing and partner readiness
The documentation and controls a bank, NBFC, or network partner reviews before they will sign.
Investor and regulator diligence
A data room that answers the compliance question first, because in this sector it is always the first question.
Capabilities
Where this work sits in the studio
- ControllershipThe controls, reporting structures and governance systems that make a company's numbers trustworthy.Read more
- Venture Capital & Private EquityInvestment readiness, fundraising strategy, diligence preparation and transaction support for founders raising institutional equity.Read more
- Debt & Blended FinanceWorking capital, venture debt and blended structures for businesses that should not be raising equity.Read more
Proof
What we have done in this sector
Talk to someone who knows the sector
Tell us where the business actually is and we will tell you what we would do first. No deck required.