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:
Our client was setting up a new gaming licensing and taxation authority for a national government and sought external support to develop its Compliance and AML Framework.
Our client was looking at options for the location of new Level 2 teams to support retail customers with affordability and suitability issues.
A major credit card company and regulated PSP with global reach approached Lysis to uplift their transaction monitoring framework and operational controls.
