High Risk Corporate and Counterparty KYC Remediation for a Global Inter-dealer Broker

Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.

Division
Operations & Resourcing
Industry

Corporate, Wholesale and Investment Banking

Service-line

KYC Remediation

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The Client

A global inter-dealer broker

The Challenge

Following a visit from the regulator the firm was put under a Section 166 order due to concerns across their Governance Risk and Compliance capabilities

The Solution

Lysis worked with the Group Board to structure and run a major GRC remediation programme of c.60 projects:

  • One project was AML remediation ofHigh Risk institutional customer and market counterparty cases.
  • Lysis deployed a small and highly experienced team for this work.
  • The service included determining ownership and then remediation of all KYC and due diligence records, screening for sanctions, Politically Exposed Persons (PEP’s) and adverse media and enhanced due diligence as needed.
  • Lysis managed the pipeline and volume/throughput.
  • Detailed Management Information(MI) and progress reporting were provided on a regular basis.
Results
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