Compliance Consulting Services
Our team provides guidance for investment firms and investment funds
to comply with the 4th Anti-Money Laundering (AML) Directive and to prepare for the upcoming 5th Anti-Money Laundering (AML) Directive.
We provide ongoing support for regulatory compliance:
- Support with day-to-day queries - Responding to your day-to-day questions in relation to the Laws and Directives governing a CIF.
- Prepare or update your policies and procedures - Preparation or update of your policies and procedures (Operational Procedures Manual, Trading Book Policy Statement, AML Policy, Best Execution Policy, etc).
- Training - We can provide customized training on many subjects that relate to regulatory compliance (e.g. Anti-Money Laundering, Know-Your-Client procedures, etc).
- Identifying areas of potential exposure
- Money laundering audit template
- Independent money laundering audits
- AML compliance procedures and Risk-Based approach through a thorough AML risk assessment at a Country level as per the new regulation.