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 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.
Two global banks merged and Lysis was asked to manage the integration of the KYC Operations functions globally for the wholesale & Investment Banking division covering 200,000 customers and 65 countries.
Programme management, target operating model design and global policy development to enable a Fenergo implementation at a major wholesale and investment bank. Lysis Group successfully assisted a global investment bank to design and implement a target operating model in preparation for the implementation of Fenergo.
