O U R S E R V I C E S
C O M P L I A N C E
R I S K M A N A G E M E N T
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R E G U L A T O R Y
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Interim compliance management solutions
This looks to provide any of the below services to cover holidays, sick leave or other staff absences. This also includes business crossover cover to ensure essential functions are maintained.
Ongoing In-house compliance
This could include a set number of hours per month or days per week to meet basic compliance requirements.
Project In-house compliance
This could include providing resource and support prior / post a regulatory visit, to bridge a resource gap with a change in staffing or to cover absence, or for a special one-off project.
Policies and procedures
This may be to satisfy a requirement to regularly review and update procedures and to report annually to the board, or to ensure procedures are compliant with current regulations, or to bring procedures in line with actual practices.
Annual health checks
Including a review of procedures against regulations and a report to the board in line with regulatory requirements.
Internal and external audit function
To ensure businesses meet regulatory requirements and demonstrate good governance. This could be a monthly, quarterly, six monthly or annual review.
Due diligence reviews
This could be in the normal course of business or as part of a merger or acquisition of a new business.
Enhanced due diligence
For prospective or existing high risk clients. This could include a risk profiling or risk mitigation program.
MLRO support
For SARs and enhance in house training or coaching,
Risk management solutions
Including client risk assessments, business risk assessments, or technological risk assessments. This could also be to support the introduction and management of an effective risk management committee.
Corporate governance support
Review of governance practices at business or client level with recommendations, training and the provision of new procedures as appropriate.
Data protection
Reviews and privacy risk assessments.
Training
Including anti-money laundering, anti-money laundering, anti-bribery and corruption, data protection, directors duties or corporate governance.
Board Level support
As Non - Executive Director or a Company Secretary (subject to FSA approval)
Licence applications
To assist with licence applications for a CSP/TSP, DNFSB or gaming company.