A major bank with two major trading entities wished to decrease time-to-trade processing overheads for new customers and for new products for existing customers.
Investment, Asset & Wealth Management
Client Data Management
A large global broker with inter-dealer broking, corporate and retail broking brands, several of which had been acquired over the previous few years
Our client wished to ensure that it had all UK regulatory requirements covered by policy, procedures and controls.
Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.
One of our client's banks has flagged areas of our client's Ant-Money Laundering (AML) Governance and Compliance operation as a potential cause for concern. Our client asked Lysis to perform an independent review for them to establish if anything was genuinely wrong.
