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KLAROS ADVISORS

An uncommon approach to strategy and regulatory engagement for financial services firms.

We leverage deep knowledge of innovation, financial services, and regulation; broad networks of relationships; and direct experience to help clients navigate the complexities of financial services regulation and meet regulatory requirements while building business scale and momentum.

DRIVING VALUE IN FINANCIAL SERVICES

STRATEGY & POLICY

  • Strategies and planning for   delivery of banking services:  – Licensing     
    – Bank partnership     
    – Acquisition, sale     
    – Financial modeling     
    – Business and financial plan       
       development     
    – Market assessment     
    – Capability assessment/
       gap analysis

  • Business and product strategy development

  • Fundraising preparation

  • Investment Committee advisory

RISK & REGULATION

OPS. & EXECUTION

  • Gap assessment

  • Organizational design

  • Program and policy   development:     
    – Consumer Protection     
    – Enterprise risk management    – Capital & liquidity
       management     
    – Financial Crimes/AML/BSA

  • Enforcement action compliance

  • Independent monitoring

  • Governance review

  • Due diligence

  • Risk Committee advisory

  • Process assessment

  • Risk identification and   mitigation

  • Financial analysis and   modeling

  • Flow investor diligence  package and process design

  • Regulatory/compliance/risk management diligence

  • Investment transaction   diligence and assessment

SERVING THE EVOLVING FINANCIAL SERVICES INDUSTRY

FinTECHS & PAYMENTS

  • Money transmitters

  • Payments networks

  • Prepaid card provider

  • Crypto and blockchain

SERVICE PROVIDERS

BANKS

  • Law firms

  • Investment banks

  • Payment processors

  • Regtech developers

  • Global banks

  • Large U.S. banks

  • Partner banks

  • Community banks

  • Neo-banks

  • Broker-dealers

  • Robo-advisors

  • Consumer, mortgage,
    auto, and student lenders

  • Trade finance lenders

  • C&I and CRE lenders

  • SMB lenders

  • Venture capital firms

  • Private equity firms

  • Investment banks

WEALTH MANAGERS

LENDERS

INVESTORS

Copyright © 2020 Klaros Group LLC – All Rights Reserved.

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