Our Expertise Covers:

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

Note: Our monitorships of AML/AFC and FX trading have also included forensic investigations of possible breaches in law or regulations