Compliance Services

We provide a wide range of Services

How can we help you?

AML/CFT Independent Audit

The objectives of this assessment will be to identify deficiencies, gaps, and weaknesses that may exist in the policies, controls, and operations of the entity’s AML/CFT Program.

AML/CFT Business Risk Assessment

The business risk assessments are designed to assist the financial institution in making such an assessment and provide a method by which the financial institution can identify the extent to which its business and its products and services are exposed to ML and TF. The exercise shall be conducted in accordance with Section 17 of FIAMLA 2002.

Policies & Procedures

Drafting of policies/procedures and controls to ensure that clients are in compliance with all relevant laws, rules, regulations, code and guidelines. Put in place a tailor-made Internal Control Manual defining the procedures to be followed.

Due Diligence Exercise, Including Screening

Verification of the due diligence documents, and source of funds (if applicable). Prepare report and issue compliance recommendations where necessary and undertake Client Risk Assessment.

Assistance for onsite and offsite regulatory Inspection

Outsourcing Of Staffs With Regards To Compliance and consultancy

FATCA/CRS Classification and XML

The use of our internally designed tool for the conversion of FATCA/CRS relevant regulatory accounts into the requested XML format, in a hassle-free manner.

Training Program

Covers various aspects of compliance matters in various sectors to equip directors , officers and staff in general with the necessary tools and skills to deal with compliance and regulation and protecting businesses against ML and TF risks.

Transaction Monitoring

Compliance reviews of client files, client transactions assessment and monitoring against client profile, recommendation for update of CDD documents, re-assessment of client risk, amending / updating client profile, monitoring of high-risk clients and recommendation for high-risk transactions / clients.

Risk Consulting / Internal Audit

The use of our internally designed tool for the conversion of FATCA/CRS relevant regulatory accounts into the requested XML format, in a hassle-free manner.

Forensic Investigations

Secure your business objectives and interest by identifying malpractices.

Onboarding of clients

Preliminary assessment of prospective business relationships; calibration of Customer Due Diligence processes based on the type of proposed relationships and initial issues identified; advising on relevant Due Diligence Documents as stipulated by regulators; assessment of Due Diligence Documents against regulatory requirements and industry norms; advising and assessment of sources of wealth and fund.

Client Risk Assessment

The use of our internally designed tool for the conversion of FATCA/CRS relevant regulatory accounts into the requested XML format, in a hassle-free manner.

Business Due Diligence

Fact finding process of verification and investigation | Zoom on high-risk areas enabling an informed decision-making process | Avoid bad surprises and a bad business transaction