

A global securities house asked for help enhancing and streamlining its client on-boarding and AML TM capability and to off-shore certain parts of its AML processing.
Corporate, Wholesale and Investment Banking
CLM Process Efficiency
The bank wished to enhance and streamline its client on-boarding processes, enhance its AML transaction monitoring capability and off-shore certain parts of its AML processing. The scope of this was specifically for the core Capital Markets business, Private Clients, Commodities, Futures and Corporate Banking. At the same time, the bank had to implement major regulatory changes including MiFID and the FSA risk-based approach.

A major European-domiciled Cryptoasset Exchange with global reach required a gap analysis to identify all deficiencies in their Customer Risk Rating Model and a roadmap for improving it.

A successful regulatory turnaround for a UK EMI and crypto firm, restoring FCA permissions and avoiding administration under new leadership.

A UK domiciled crypto exchange with global reach had a regulatory requirement for crypto Money Laundering Reporting Officer (MLRO) support.