Compliance Services

We provide a wide range of Services


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Customer Due Diligence

A. Individual Screening:
– Basic screening
– Advanced screening
– Screening and client risk rating
B. Batch Screening:
– Automatic overnight batch screening


Ongoing Compliance Monitoring

– Delivery of compliance report
– Delivery of MLRO report
– Conduct of client risk profiling


Reporting of Suspicious Transactions

– Assistance with GOAML registration
– Assistance in abiding with policies
   and Procedures
– Assistance with assessment
   of information
– Assistance with filing on GOAML platform


Customer Due Diligence

A. Individual Screening:
– Basic screening
– Advanced screening
– Screening and client risk rating
B. Batch Screening:
– Automatic overnight batch screening


Ongoing Compliance Monitoring

– Delivery of compliance report
– Delivery of MLRO report
– Conduct of client risk profiling


Reporting of Suspicious Transactions

– Assistance with GOAML registration
– Assistance in abiding with policies
   and Procedures
– Assistance with assessment
   of information
– Assistance with filing on GOAML platform


Drafting of Policies and Procedures

– Drafting of Internal Control Manual
– Drafting of client acceptance forms
– Drafting of client risk ratings


Training

– The basics of AML/CFT
– Advanced AML/CFT training
   for financial institution
– Advanced AML/CFT training
   for real estate sector


Assistance for regulatory inspections

– Review of the compliance framework
– Review of client files and KYC remediation


FATCA & CRS Classification and Conversion

– Assistance with classification
– Conversion into XML format


Outsourcing of AML Functionaries

Deliverables as CO:
– Sign off report on onboarding,
   annual compliance report
Deliverables as MLRO:
– Annual MLRO report, assistance
   in suspicious transaction
   enquiries and filings

FATCA & CRS Classification and Conversion
  • Assistance with classification
  • Conversion into XML format
Outsourcing of AML Functionaries
  • Deliverables as CO: Sign off report on
    onboarding, annual compliance report
  • Deliverables as MLRO: Annual MLRO
    report, assistance in suspicious transaction
    enquiries and filings
A. Individual Screening:

Basic screening: Delivery of report of screening on World Check, Google search, UN Sanction list, OF AC Sanction list, Offshore leaks, Supreme court of Mauritius and other relevant searches.

Advanced screening: In addition to above, assessment of completeness of due diligence and verification of source of funds/wealth.

Screening and client risk rating: Advanced screening with client risk assessment

B. Batch Screening:

Automatic overnight batch screening

 

A. Individual Screening:

Basic screening: Delivery of report of screening on World Check, Google search, UN Sanction list, OF AC Sanction list, Offshore leaks, Supreme court of Mauritius and other relevant searches.

Advanced screening: In addition to above, assessment of completeness of due diligence and verification of source of funds/wealth.

Screening and client risk rating: Advanced screening with client risk assessment

B. Batch Screening:

Automatic overnight batch screening

  • Delivery of compliance report
  • Delivery of MLRO report
  • Conduct of client risk profiling

AML/CFT Independent Audit

AML/CFT Business Risk Assessment

Drafting & Review of Policies and Procedures

Due diligence exercise including screening

Onboarding of clients

Transaction Monitoring

Client Risk Assessment

Assistance for onsite and offsite regulatory inspection

Outsourcing of staffs with regards to compliance and consultancy

FATCA/CRS classification and XML

Business Due Diligence

Implementing of Training Program

Risk consulting / Internal Audit

Implementing of Training Program


Business Risk Assessment

– Determination of inherent risks
– Producing the enterprise-wide
– Assessing policies and controls
– Identification of residual risks
– Conducting a Preliminary
   Business Risk Assessment


Independent AML/CFT Audit

– Conducting an independent review and
   verification of compliance
– Review of AML/CFT policies
   and procedures
– Walk-through test of a sample of clients
   and transactions
– Conduct GAP analysis and issue of
   a GAP analysis report

Business Risk Assessment
  • Determination of inherent risks
  • Producing the enterprise-wide
  • Assessing policies and controls
  • Identification of residual risks
  • Conducting a Preliminary Business
Independent AML/CFT Audit
  • Conducting an independent review
  • A review of the AML/CFT policies
  • A walk-through test of a sample of clients
  • Conduct GAP analysis and issue
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