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 European wholesale and investment bank with global reach asked for help meeting customer classification requirements.
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.
Assessment and remediation of the client monies safeguarding arrangements at a UK EMI.
