Services for Regulators & Supervisory Authorities
EIS helps governments build regulatory frameworks that meet international standards and supervisory organizations that can implement them effectively. Our approach is informed by experience on both sides of international regulatory engagement: as a U.S. regulator who represented the SEC at IOSCO and the Financial Stability Board, and as a consultant who has successfully guided jurisdictions through membership applications, international assessments, and legislative development. We understand what international bodies look for because we have been part of those bodies. We know what makes applications succeed because we have managed both sides of the process.
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International Membership & Assessment Support
We guide jurisdictions through IOSCO membership, MMoU applications, IMF Financial Sector Assessment Program (FSAP) reviews, and other international assessments. Recent results: Successfully managed complete IOSCO MMoU review and negotiation process, resulting in signatory status and ordinary membership. Services include: Gap analysis against IOSCO Objectives and Principles; remediation planning and implementation; documentation preparation; representation in negotiations with international bodies; mock assessments and preparation. Typical engagement: 6-12 months depending on jurisdiction readiness.
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Regulatory Framework Design & Legislative Drafting
We design and draft comprehensive regulatory frameworks for emerging financial products and markets, ensuring alignment with international standards while remaining practical for jurisdictions with limited resources. Recent results: Drafted Digital Assets Act incorporating IOSCO tokenization standards and OECD CRS/CARF tax transparency requirements; developed OTC leveraged products framework based on EU MiFID and IOSCO recommendations. Areas of expertise: Digital assets and tokenization; OTC derivatives and leveraged products; capital markets development; cross-border regulatory cooperation; regulatory simplification for SME capital formation. Typical engagement: 3-9 months depending on scope.
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Supervisory Capacity Building & Training
We help supervisory authorities build the staff expertise, organizational capacity, and operational processes needed to implement regulatory frameworks effectively. Recent results: Developed national financial literacy certification program (Series 7 equivalent) now operational as a regulatory requirement; created supervisor training curricula delivered across multiple jurisdictions; supported organizational restructuring to enhance supervisory efficiency. Services include: Staff training programs; examination and enforcement techniques; certification program design; organizational structure review; process documentation; train-the-trainer programs. Typical engagement: 2-6 months for training; 6-12 months for organizational development.
International Representation & Strategic Advisory
We represent jurisdictions in multilateral forums and advise on regulatory strategy in the context of international developments. Recent results: Represented client jurisdictions at IOSCO, IMF, and OECD meetings; designed and executed strategy for regulatory simplification to support local capital formation. Services include: Representation at IOSCO, IMF, OECD, and other international forums; monitoring and analysis of international regulatory developments; strategic positioning for emerging regulatory trends; policy development and advocacy. Engagement format: Retainer or project-based.
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Working With EIS
We typically begin with an initial assessment to understand your jurisdiction’s objectives, current state, and constraints. From there, we develop a tailored work plan with clear deliverables and timelines. Our goal is not just to help you pass an assessment or achieve a milestone, but to build lasting institutional capacity that serves your jurisdiction’s long-term development. To discuss your jurisdiction’s needs, contact Franco Destro at fdestro@ethicalinvestorllc.com or 917.443.7390.
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