Consulting

The world of financial services regulation is changing rapidly. Ensuring compliance with all relevant regulations requires every Financial Services Provider to review its strategy and improve its business practices – for the benefit of both customers and stakeholders.

Financial Services Providers around the world are increasingly recognizing the importance of ensuring that their institutions have adequate controls and procedures in place so that they are not used for criminal or fraudulent purposes. Adequate due diligence on new and existing customers, as well as monitoring, reporting, training, and record keeping, are a key part of these controls. Without such compliance safeguards, Financial Services Providers can become subject to reputational, operational, and legal risks which can result in significant financial costs.

We have developed an extensive range of products and services to assist Financial Services Providers all over the world in coping with these increasing regulatory demands. Taking a positive approach to regulation can improve performance, enhance profitability, accelerate growth and build competitive advantage.  The primary regulatory compliance consulting services we provide fall under three major categories:

Policy Guidance

We are experienced in writing, revising, and assisting in implementing compliance policies and procedures to a wide range of Financial Services Providers.

Audit and Examination

We conduct independent Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) reviews.  We also offer specific testing and benchmarking of systems and procedures to highlight areas requiring development. In addition, advisory inspections, due diligence, and pre-regulatory “focus” visits can be conducted in a comprehensive and efficient manner.

Regulatory Remediation

We provide compliance consulting services in all manner of regulatory support to include regulatory liaison, inspection/enforcement/litigation assistance and implementing corrective measures.



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