REGULATORY VISIT

PREPARATION

BRIEF OVERVIEW

As the Proactive Intervention Framework (PIF) establishes itself as the regulatory weapon of choice, combined with the businesses risk continuous assessment model and focus on the Senior Managers and Certification Regime (SMCR), we have turned our attentions to ensuring that our clients are prepared for their regulatory visit.  

 

Whether you are in the throes of a remediation program, section 166 or simply working to keep a clean slate, it has never been more important to review how you present yourself and your firm during a supervisory visit.

Our regulatory focused, diagnostic health check measures your readiness against the supervisory risk assessment model with particular focus on not just if you measure up, but also how you present your firm’s compliance to your supervisors.

 

"The true cost of the intervention wasn't the skilled persons report, but the impact it had on the BAU", COO, Interdealer Broker

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CONTENT

Lysis Financial _ AML Maturity Assessmen

CASE STUDY

EXAMPLE EXPERIENCE

  • One of the largest banks in Africa and the Middle East and the largest and one of the oldest banks in Egypt

  • A leading independent investment manager from the Gulf

  • A specialist bank, orginially from the Mediterranean and recently rebranded and established in the UK

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