Executive summary Motivating the front office to support the organisation to meet their regulatory obligations is a key challenge for compliance functions As the complexity of the regulatory environment grows,...

Are your KYC operations putting you at risk? The sad truth is many organisations are continuing to fall foul of breaches and deficiencies in AML and CTF, resulting in multi-million...

In recent years, the inadequacy of many financial institutions KYC controls have been exposed and punished in the form of significant fines, public embarrassment and brand damage. Whilst those in...

Make sure your buiness is ready for the impact of MIFID II MiFID II is coming. Whilst the regulations are still to be finalised, by the time it arrives in...

Whether it’s internal business pressure to minimise the time to trade, the threat of regulators conducting an audit (or worse, a section 166) or simply trying to keep on top...

Benjamin Franklin famously said there were only two certain things in life – death and taxes. For those that have been working in the financial services industry for the past...

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