Our Services

SEC Licencing

Need help with procuring licence from the Securities and Exchange Commission (SEC), we are the consultant of choice to navigate this process with you seamlessly.
- Crowdfunding Intermediary
- Corporate Investment Adviser
- Fund/Portfolio Manager
- Issuing House
- Digital Sub Broker
- Trustee, etc

Think SEC Licencing… Think Axelia Consult

Axelia combines financial services focus, practical experience, and a dynamic team to help clients start strong with regulatory authorisation, registration and licencing, and initial compliance setup.
We interface with various Regulators and assist clients with obtaining mandatory licences/registration as stipulated by legislation. Our support includes Capital Market Operator and Sponsored Individual applications with the SEC, NFIU Portal set up (GOAML and NIL Reporting Portal), FRCN Registration and Renewal, Money Lending Licencing, SCUML Registration, etc.

Compliance Audit and Process Walk-Through

This involves examining the general state of a company’s compliance status with legislation applicable to it as a registered capital market operator in Nigeria.

The process walk-through exercise will identify areas where the Company is non–compliant and develop strategies for closing the gaps.

Scope of review:

Regulatory Returns
Policies and Procedures
Document Management System
Processes
Compliance with Investment and Securities Act and the SEC Rules.

Based on our audit findings, we will develop a Regulatory Compliance Action Plan, which will highlight remedial actions and process improvements that need to be taken to bring the business in line with regulatory standards. In this regard, we will:

Agree with the Company on a realistic implementation timeline
Draft relevant compliance documents/policies (Where the Company does not have such) and modify/update existing documents /policies, through the insertion of standard clauses, to meet regulatory requirements and best practices.
Advise on processes and tools/technology to be deployed for improved efficiency.

Recruitment and Training of Compliance Officers (1:1 and Cohort- based Coaching)

Looking for Compliance roles in Nigeria (Capital Market Operators and Fintechs)? We are experts at connecting people looking for the right job with companies looking for the right talent. We offer bespoke talent sourcing and recruitment solutions to meet hiring objectives for your regulatory and compliance desk.

We offer 1:1 coaching for aspiring/new compliance professionals. Here you lead the wheel and ask questions and our lead consultant will help you get more clarity on the things you need to focus on as an aspiring/new compliance professional.

Policy Development and Documentation

Do you need bespoke compliance related policies for your business? If yes, you are in the right place.

A Policy is a written statement, which defines an organisation’s position or strategy on the matter(s) the policies address. A Policy answers the question “what are we going to do about ‘X’?”, defines the parameters for decision-making and clarifies compliance issues for staff. It is a planned line of conduct in the light of which individual decisions are made and coordination achieved.

Here are some compliance related policies and procedures that a business should put in place:

Compliance Manual (KYC Policy, AML/CFT/CPF Policy to be embedded)
Anti Corruption Policy,
Anti-Bribery Policy,
Customer Complaints Management Policy
Gift Policy
Code of Conduct

We are able to curate tailored made policies and documentation for your business taking into consideration industry specifics and regulatory requirements.

Sector-Focused Compliance Tracker

Operators in the Financial Services Space face a growing array of compliance obligations. Fulfilling these compliance requirements requires a mechanism that includes policies and procedures for effectiveness.

Axelia provides our clients’ in-house compliance teams with a bespoke Compliance Tracker which is a comprehensive list of all the compliance filings and the mode of compliance.

Our team works with clients to assist them in fulfilling their regulatory obligations and get better at prioritising and detecting compliance issues.

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