The practical challenge
A compliance programme must translate into daily practice: customer due diligence, alert handling, conflicts of interest and monitoring of applicable requirements. The scope depends on the organisation’s activities, products and exposure.
Areas of support
- KYC frameworks
- Anti-money laundering and counter-terrorist financing (AML/CTF)
- International sanctions and embargo frameworks
- Anti-corruption
- Transaction screening and monitoring frameworks
- Professional ethics and conflicts of interest
- Personal data protection
- Client interest protection
- Tax transparency (FATCA / CRS)
- Sector-specific regulatory compliance frameworks
Is a compliance assessment a certification?
No. An assessment reviews a defined scope and proposes improvements at a particular time. It is neither a certification nor a regulatory decision. Applicable obligations and formal procedures require validation by the responsible specialists.