+44 20 3290 0724
DEVON CAPITAL ADVISORS Ltd.
35 WINGATE SQUARE
LONDON
SW4 0AF
+44 20 3290 0724
DEVON CAPITAL ADVISORS Ltd.
35 WINGATE SQUARE
LONDON
SW4 0AF
Acting as monitor and supporting preventative remediation
Acting as Monitor as part of a companies consent agreement with regulators or helping companies whose board committees request them to implement new and assess and revise existing compliance programs
Our Expertise Covers:
Reviewing a banks risk profile and activities
Assessing governance programmes
Evaluating ethical culture
Assessing and testing systems and information flows
Evaluate the effectiveness of the existing policies and procedures, e.g. “Three Lines of Defense”
Develop initiatives that may fall outside established programmes
aml/ AFC: an overview of areas of our involvement as monitor
Consent Order - Section 1
Corporate Governance
- Bank Governance and Organisation
- Management Information
- Culture
- Enterprise Risk Management Framework (ERMF)
Consent Order - Section 2
AFC COMPLIANCE PROGRAMME
- Risk Assessment
- Data
- Transactions Monitoring
- Sanctions
- KYC
- Name List Screening
- 504
- Controls Testing
- Policies
- Intelligence and Investigations
- Evidence from Audit
- Surveillance
- Remote Booking Model and Governance
- Payments
Consent Order - Section 3
- AFC Governance and Organisation
- AFC Staffing and Headcount
- Regulatory
- Training and Awareness