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?"
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.)
Transaction Monitoring System
Evaluation, optimization and selection assistance.
Transaction Monitoring System-Independent Review/Validation
Wire Transfer/OFAC Screening System ( FEDLINK etc.)-Independent Review/Validation
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.
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
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
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.