Maritime Compliance and Operations

Transaction Due Diligence

Independent due diligence for high-value yacht acquisitions.

Not every transaction is straightforward. We provide a structured, risk-based review designed to assess regulatory, reputational, and financial crime risk before a deal closes, protecting brokers, lenders, shipyards, and other transaction participants from exposure they may not see coming.

What is included:

• Risk-based scoping and client assessment

• Identity and beneficial ownership verification

• Sanctions and watchlist screening

• Source of funds and wealth assessment

• Ownership review

• Red flag identification and documentation

• Written risk summary with findings and risk rating

This review may be engaged as a standalone service or integrated into broader transaction oversight support.

Compliance Gap Assessment

A low-commitment way to gain clarity - and see how we work.

Not every firm needs full-time support, but every firm benefits from knowing where it stands.

Our compliance gap review provides a focused, time-limited assessment of your current policies, procedures, and oversight. It is a precise way to identify weak points, benchmark against industry standards, and receive tailored recommendations, without the pressure of a long-term retainer.

What is included:

• Review of existing documentation and controls

• Identification of compliance and operational gaps

• Prioritized, actionable recommendations

• Optional follow-up call to clarify findings or expand scope

This review is often the first step for clients who want assurance that nothing important is being overlooked and a clear path to strengthen what matters most.

Compliance Support Services

For individuals and firms who need senior-level guidance without the expense of a full in-house department.

• Drafting and maintaining manuals, policies, and internal controls

• Independent reviews and compliance health checks

• Outsourced compliance officer support on a flexible basis

• Bespoke training aligned with your team culture

• Assistance with compliance filings and oversight roles

• Ongoing monitoring to prevent gaps before they appear

AML and Risk Management Services

The yacht industry requires professionals to identify and reduce financial crime risks with confidence. Our support ensures you remain prepared and protected.

• Tailored compliance policies and procedure manuals

• Business and client risk assessments

• Streamlined due diligence processes

• Staff and partner training on AML obligations

• Scheduled program reviews for continuous readiness

The Ubora Difference

Personal Attention – Direct access to a senior advisor dedicated to your file

• Proven Expertise: 18 years of compliance and operations experience across Fortune 500 institutions

• Confidential Approach: Every matter handled with the utmost discretion

• Future-Ready Systems: Frameworks that anticipate challenges and keep you inspection-ready

Affiliations