C O M P L I A N C E

 

Compliance support can be provided in several ways and to support different scenarios. Kesmi aims to be flexible to meet your exact needs.

Some of the services Kesmi can offer are detailed below. However please contact us if you have any different needs as we will always be happy to meet to discuss any specific requirements:

C O M P L I A N C E S E R V I C ES

 

  • Compliance and regulatory assistance with Mergers & Acquisitions, ranging from a full Due Diligence review and reporting back to the Board and Shareholders, to liaising with the Regulator;

  • Compliance resource for short term projects, for example, to assist with Regulatory visits or to working on remedial actions or recommendations made following a supervisory visit;

  • Additional resource to help businesses undertake periodic risk or review programmes;

  • Assistance with short term resource issues to cover staff absences or to provide temporary cover when trying to recruit a permanent resource;

  • Training and support can be provided to work alongside employees new to a compliance position.

  • A range of training including Anti Money Laundering, Anti Bribery and Corruption, Data Protection, Good Governance, and Directors Duties and Responsibilities;

  • Undertaking the role as Company Secretary or Director to the board, subject to regulatory approval

  • Undertaking a review of policies and procedures to ensure they are up to date and in line with regulatory requirements;

  • Acting as an Internal audit function with periodic testing of the implementation of policies and procedures with formal reporting back to the board of directors;

  • Providing an annual compliance ‘Healthcheck’ of the business with a report to the board of directors on the compliance and risk management approach being undertaken;

  • To undertake due diligence or ‘enhanced due diligence’ reviews for higher risk clients;

  • Assistance with the risk management of the business, ranging from the Business Risk Assessment to the businesses approach to client risk management;

  • Corporate governance support to the board of directors and the shareholders including a review of the management framework, terms of references and giving board level training;

  • Review of Data Protection processes in place and licence renewals;