Regulatory Excellency

REGULATORY EXCELLENCE

        Regulatory excellence is today the heart of our team’s actions in bringing our customers into compliance in the face of the steady rise in the demands of global regulators. In the phase of anticipation, control or recovery of the devices, our experts intervene from the definition of the policies to their implementation in central or within the operational teams.

THE STAKES

  • Secure the interests of the company and protect those of the customers
  • Respect texts and minimize operational and non-compliance risks
  • Standardize and optimize regulatory devices and processes

Regulatory Excellence

IN 6 KEY SERVICES

Know Your Customer

Customer Acceptance Policy / Customer Identification Procedures / Monitoring of Transactions / Risk Management

AML-CFT – Financial Penalties

Blacklist query / Analyzing data / Verification of the compliance / status management and interaction

Customer Interest Protection

Secure the marketing of new products and transactions / Strengthen and manage the controls of suitability and conflict of interest / Monitor its claims management / Ensure the right level of customer information and the duty to adviseption)

Operational
 Risks 

Build your organizational, functional and operational frame / Developing your historical and potential incident base with their characteristics / Mapping and evaluating your risks / Measuring and managing your risk management system based on relevant indicators6 months (option)

Permanent monitoring

Adapt your governance to your organization / Divide your control levels / Create your control plan and optimize your escalation processes and recommendations / Maintain internal and external reporting / Take advantage of identified failures / Share analysis and resolutions

Internal Audit

Grow your methodology and the tools for on-site projects / Centralize the exhaustiveness of results and recommendations (internal and external) / Build a management and a traceability system / Create your perennial plan on assessment / Measure the viability  of investigationsoss-return (option)

SUCCESS STORIES

OUR MAIN REFERENCES