Policies, procedures & controls
01
Regulatory compliance / anti-financial crime / data protection
Preparing new or updating current versions
02
Business Risk Assessments
Money laundering / terrorist financing / proliferation financing – drafting / updating
03
Compliance Monitoring Programmes
Enhancing at programme / test level
Advice & support
01
Developing governance / risk structures
Advice on governance / risk management structures, management information flows, etc
02
Compliance monitoring
Running CMPs – adding capacity / independence
03
Scheduled compliance support
One off or regular, to get key tasks completed
04
Regulatory onsites
Expert support before, during and after
05
Regulatory licences
Application advice and support
06
Data protection
• Advice and support to DPOs and directors – all sectors
• Assessment templates to allow you to map your business’s processing of personal data
• Undertaking mapping and assessment
• Drafting / updating DP policies, procedures and controls
Reviews & audit
01
Focussed reviews
Of compliance with requirements in specified areas – Anti-Financial Crime Handbook / sectoral rules etc
02
Corporate governance
Against the Finance Sector Code of Corporate Governance
03
Due diligence
Pre-acquisition DD / support for target businesses
04
Independent audit
Provide an independent audit function for Anti-Financial Crime Handbook or other purposes / support or advise on this function
01
Financial crime
AML/CFT/CPF for senior management, named roles and relevant employees
02
Sanctions
Let’s say it again... crucially, sanctions!
03
Conduct
Conflicts of interest – all regulated sectors
04
Data protection
All business types – introduction / data subject’s perspective / employee / senior manager levels
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