Having GRC as part of your compliance team means GRC will provide you with a comprehensive quality resource to suit your specific requirements. GRC will operate under retainer agreements or flexible ad hoc agreements, whatever is required to meet the client’s needs.
GRC will manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan from start to end and guiding you through the process and timelines expectation.
Financial Crime – AML/Anti Bribery and Corruption/Fraud –
e.g., KYC, Red Flags, SDD/CDD/EDD reviews, SARs, Financial Crime policies and procedures, OFAC, FATCA etc.
Conflict of Interests and Conduct Risk programme creation
Control Room –
build/assess information barrier environment, review and Improve the material, non-public information handling of the firm, Customer Transactions and Employee Personal Trading Reviews, provide – training, policies, and procedures, “Need to Know” standards, System access controls, Watch and restricted list management, PA dealing and conflict management
If enforcement proceedings are anticipated, we can work with your legal advisers towards the best possible outcome