Financial Crime, AML, KYC

Financial Crime (AML/KYC)

Anti-Money Laundering (AML) support services: We capture the information required to demonstrate compliance with AML and CTF regulations and provide workable tools for future use.

e have subject matter experts and practitioners to advise on a range of AML issues from routine challenges to complex matters requiring more in-depth assignments, including conducting AML remediation reviews.

Our AML procedures will capture the information required to demonstrate compliance with the regulations and provide your team with workable tools for future use.

Customer Due Diligence (CDD) and enhanced customer due diligence (EDD) present particular problems in the current climate with an increasing number of persons being brought under the sanctions listings. Consequentially it is vital that a firm’s procedures are under constant review.

Firms that fall short of their AML obligations are required to undertake substantial remediation including comprehensive file reviews and appropriate training.

Know Your Client

Know Your Client (KYC) Analysis is a Due Diligence and Anti Money Laundering screening process which financial institutions and regulated companies must conduct on their clients prior to carrying out business with them. Periodical checks are also carried out through remediation projects to ensure that all the relevant information is up to date.

This site covers the entity specific requirements which have been cross-referenced with International AML policies, with particular reference to the UK’s JMLSG Guidelines. There are also direct company search links to the main stock exchanges, regulatory bodies, external sources (including World Check, Bankers Almanac and DnB) as well as sanction lists used in carrying out full KYC reviews on prospect and existing clients.

We manage your FCA application

Our Expertise and Services also include:

  • Advising you on the FCA Regulated activities for which you will need permission
  • Advising you on the different FCA Regulatory (including Prudential) obligations specific to your Regulatory Activities
  • Advising you on the FCA competency requirements for senior management and other staff
  • Assisting you in the preparation of your Regulatory Business Plan
  • Assisting in the completion of the necessary forms, including ownership disclosure forms and FCA Approved Persons Forms
  • Advice on corporate governance, systems and controls
  • Providing you with practical and effective regulatory compliance documentation including Compliance Manual, Compliance Monitoring Programme
  • Preparing your senior management for meetings with the FCA
  • Liaising with your other advisers and with the FCA
  • Project managing your Firm’s FCA application from start to finish

Internal Audit Co-sourcing

Internal Audit functions within financial services firms face many challenges. In order to be effective, Internal Auditors must develop knowledge of complex business environments with varied risk profiles; grasp the risks inherent in the development and deployment of new products and services, and adjust to a world of ever-changing regulation. Inclusion Business solution helps manay businesses across EU with AML checks and Identity verifications. We can review your control framework and client files, Then priotise the activities needed to remediate any weaknesses identified.

Customised Audit

We review your control framework and client files, then customise our approach to fit your AML needs and prioritise the specific activities needed to remediate any weaknesses identified

A Trusted Expert

Assigned to each audit is an AML certified, industry expert who works as a professional advisor throughout the entire process.

Proven Process:

Our proven three-step process will identify compliance gaps, recommend enhancements and work collaboratively to develop realistic and attainable action steps for implementation

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