Compliance systems built around the real operation

Practical compliance

Controls proportionate to the business, risk and company size

We first identify obligations, exposure and existing processes. We then define documents, owners, alerts, training and follow-up.

Typical services

• Regulatory and risk-exposure assessment.
• KYC, AML, customer acceptance and due-diligence policies.
• Risk matrices, files and escalation criteria.
• Preparation for UAF registration or reporting where the activity is subject.
• Recurring compliance-officer support and document updates.

Process

UAF registration and reporting duties depend on the activity and applicable rules. The initial assessment confirms whether they apply.