AML Programs & Regulatory Compliance

The goal of today’s financial institutions and other companies is to develop an integrated risk based anti-money laundering program. We can develop programs that focus on risk reduction and management and implement customized solutions based on your needs. Our anti-money laundering and other regulatory compliance programs are designed for our clients in a specific and unique manner, based on the institution’s structure and business activity.

 

"Today's regulatory environment changes and evolves rapidly and continuosly.

Are your evolving with it or just playing catch up?"

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AML Audits

 AML Program Assessments

 

  •  Policy and Procedures design and   implementation     

 

  •  AML Risk Assessment-Institutional

 

  •  AML Risk Assessments on existing and new bank products offerings (Investment products, CD's etc.)

 

  •  CIP/KYC Programs 

 

Transaction Monitoring System

 

  • Evaluation, optimization  and  selection   assistance.

 

  • Transaction Monitoring System-Independent  Review/Validation

 

  •  Wire Transfer/OFAC Screening System ( FEDLINK etc.)-Independent Review/Validation                                                                           

 

 

 

AML Investigations

 

  • Enhanced Due Diligence (EDD)  Investigative due diligence for customers and counter-parties.

 

  • EDD Investigations for Private Banking and Wealth Management Clients/Correspondent Relationships

 

  • Internal investigation, escalation, and reporting  procedure implementation.

 

  • Identification and investigation of suspicious  transactions and accounts.

 

  • Assistance with inquiries from law enforcement and regulators.

 

  • Merger and acquisition due diligence related to anti–money laundering.

Foreign Corrupt Practices Act (FCPA)

 

The FCPA IS applicable to any person who has a certain degree of connection to the United States and engages in foreign corrupt practices. The Act also applies to any act by U.S. businesses, foreign corporations trading securities in the United States, American nationals, citizens, and residents acting in furtherance of a foreign corrupt practice whether or not they are physically present in the United States. In the case of foreign natural and legal persons, the Act covers their actions if they are in the United States at the time of the corrupt conduct. Further, the Act governs not only payments to foreign officials, candidates, and parties, but any other recipient if part of the bribe is ultimately attributable to a foreign official, candidate, or party. These payments are not restricted to just monetary forms and may include anything of value.

 

Issuers

 

Includes any U.S. or foreign corporation that has a class of securities registered, or that is required to file reports under the Securities and Exchange Act of 1934

 

Domestic concerns

 

Refers to any individual who is a citizen, national, or resident of the United States and any corporation and other business entity organized under the laws of the United States or of any individual US State, or having its principal place of business in the United States

 

Any person

 

Covers both enterprises and individuals

 

We can help organizations with FCPA related risk:

  • FCPA Due Diligence

  • FCPA Audits & Investigations

  • FCPA Enforcement Actions

Money Service Businesses ("MSB's')

 

MSB Registration and Licensing Requirements

 

  • Required Compliance Programs (Audits and Manuals)

  • Required Shareholder Background Checks

  • Compliance Officer and other compliance outsourcing

 

 

In addition to our AML compliance services we offer other regulatory compliance services that are in need in today's business environment.

 

Please contact us for more information on these and other regulatory and compliance services.

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