Consulting Services

RockFin Consulting supports you in building a solid foundation for your business to operate in all confidence and to prepare for growth. Our team of professionals will accompany your business in setting up comprehensive processes and procedures. We also conduct audits and our training programmes are customised to help your organisation build the capacity it requires to achieve its business ambitions.

Designing Policies & Procedures

  • Compliance Manual
  • Business Continuity Plan
  • Code of Conduct & Ethics
  • Disaster Recovery Plan
  • Anti-Money Laundering and KYC Policy & Procedures
  • Risk Management Policy
  • Designing risk-based approach monitoring program

AML/CFT Independent Audit

Review of the following policies and procedures:

  • Client onboarding;
  • Customer Due Diligence, encompassing standard, reduced and enhanced level;
  • Politically Exposed Persons;
  • Client risk-assessment;
  • Client transaction-monitoring;
  • Client reviews;
  • Suspicious-transaction monitoring;
  • Record keeping;
  • Relevant recruitment procedures and training.

Preparation of the following after the exercise:

  • A walk-through test of a sample of clients against the relevant procedures;
  • A gap-analysis report following review of policies and procedures.
  • Provision of report

Training services

  • Anti-Money Laundering & Combating Financing of Terrorism Framework- International and local
  • Onboarding of business relationships
  • Methodology of assessment of initial risk of business applicants, and constant monitoring of risk levels
  • Transactions – Monitoring of clients
  • Suspicious transactions identification- the way to proceed
  • Corporate Governance
  • Mauritian Labour Law
  • Corporate Law

We have the necessary tool to conduct the above training through online medium for better convenience.

Preparation and assisting for regulatory visit

Tax transparency

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