Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.
Corporate, Wholesale and Investment Banking
KYC Remediation
A global inter-dealer broker
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
Lysis worked with the Group Board to structure and run a major GRC remediation programme of c.60 projects:
A Norway-based crypto broker registered with the Norwegian Financial Authorities. The client had rapidly scaled its operations to meet growing demand in the crypto sector but faced increasing regulatory scrutiny from both national and European regulators.
A global financial services firm engaged Lysis Group to support a strategic review of its Financial Crime Risk Management Framework (FCRMF). The review was driven by the need to assess the effectiveness, alignment, and maturity of the firm’s current financial crime controls across key domains.
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.
