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:
The client is incorporated in Ireland as an Irish Collective Asset-management Vehicle (ICAV). The client is an American investment fund which specialises in lending large amounts of money to various entities ranging from listed entities to unregulated entities based in the USA.
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 large operator of bank infrastructure wanted to develop a shared operating model and managed service for client lifecycle management (CLM), anti-money laundering (AML) and Know Your Customer (KYC).
