A London based financial institution with global reach asked Lysis to perform a review of their AML governance framework.
Corporate, Wholesale and Investment Banking
Financial Crime Framework Review and Enhancement
Lysis deployed a team of AML and regulatory specialists to carry-out a review of the firm's governance framework relating to AML. They also reviewed all policies and procedures relating to AML, ABC and sanctions and reviewed and tested all operational processes and systems relating to AML including KYC and transaction monitoring. In addition, Lysis interviewed all key staff from executive management to operational staff in order to establish the level of understanding and cultural awareness around AML and compliance. They further tested the Three Lines of Defence model in the firm to review its effectiveness.
A European Retail Bank with over 4000 employees globally had a tight regulatory deadline to review five years of transactions to identify suspicious transaction and cases of money laundering and/or terrorist funding.
A global securities house asked for help enhancing and streamlining its client on-boarding and AML TM capability and to off-shore certain parts of its AML processing.
Our client wished to gain an ACPR Payment Institution license in France and asked for Lysis' assistance to prepare all the documents and for general support during the application process.
