Compliance Services

RockFin Compliance handles your compliance and regulatory programmes and liaison with regulators in Mauritius, so that your staff and you remain at all times compliant, even if you are a small team.

Client Acceptance Procedures:

Client- onboarding services covering:
  • 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
  • External checks on clients including:
    • World Check
    • Independent checks
    • OFAC list
    • UNSCR list
    • HMRC list and
    • similar listings
  • Advising and assessment of sources of wealth and fund
  • Building up of clients’ general profile
  • Designing of Risk-Assessment system for clients
  • Advising type of/enhanced due diligence to be conducted in case of high risk/PEP clients
  • Advice on appropriate onboarding procedures for enhanced due diligence cases and other sensitive cases

Ongoing monitoring of clients, covering:

  • Recommendation for update of CDD documents
  • Compliance reviews of client files
  • Client’s transaction’s assessment and monitoring, against client’s profile
  • Reassessment of client risk
  • Recommendation for high-risk transactions/clients
  • Amending/updating Client-profile
  • Monitoring of high-risk clients