Clients have to deal with ever-evolving regulations regarding on-boarding, FATCA, and marketing of securities. Our compliance team works with clients across all these processes and provides them additional bandwidth and flexibility to better-manage the dynamic regulatory environment. For example, we support our banking clients in conducting their time-bound KYC remediation projects, which requires the deployment of a team of skilled professionals for the duration of the project. For our asset management clients, we oversee the complete sales and marketing literature review process, including the process of securing an approval from FINRA for the literature

WHAT WE OFFER:

  • Data auditing, cleansing, and validation
  • Customer identification program (CIP)
  • Customer due diligence (CDD)
  • Sanctions (PEP, OFAC, etc.) and non-sanctions screening
  • Risk assessment and customer risk rating (CRR)
  • Enhanced due diligence (EDD)
  • KYC remediation