Fiduciary Compliance Solutions offer cost effective solutions designed to help businesses meet with their regulatory obligations. Our solutions can be tailored to specific client needs.
Compliance Framework
Creation of bespoke compliance manuals, monitoring programmes and full compliance controls, policies and procedures (compliance framework) including but not limited to:
- Compliance procedures manual
- Operating procedures manual
- Corporate governance manual
- Anti-Money Laundering & Countering Financing Terrorism Policy
- Conflict of Interest Policy
- Risk Management Framework and Manuals
- Business Continuity Plans
Regulatory Reports and Returns
- Completion and assistance with the submission of GFSC mandated regulatory reports and returns.
AML and Financial Crime Prevention
- Anti-Money Laundering and Countering Terrorist Financing support services including but not limited to:
- Reviews of AML policies and procedures and their effectiveness
- Conduct comprehensive reviews of client files
- Review/implement client on-boarding procedures
- Identification of the money laundering risks specific to your business and the provision of advice on appropriate policies, procedures, systems and controls
- Provision of a MLRO*
Training
Delivery of practical, risk-based training focusing on the creation an effective compliance culture and instilling the correct skills and behaviors including:
- The establishment and maintenance of a staff awareness and training programme for the prevention of money laundering and terrorist financing
- Training on AML procedures and the AML rules and regulations that apply
- Access to e-learning courses and assessments
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
