Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.
Corporate, Wholesale and Investment Banking
KYC Remediation
A global inter-dealer broker
Following a visit from the regulator the firm was put under a Section 166 order due to concerns across their Governance Risk and Compliance capabilities
Lysis worked with the Group Board to structure and run a major GRC remediation programme of c.60 projects:
A major Egyptian bank with UK operations had a requirement to identify possible AML and CTF gaps and suggested improvements.
A significant UK and US corporate bank with questions around the quality of the firm’s AML capabilities and customer files
A global financial services firm engaged Lysis Group to support a strategic review of its Financial Crime Risk Management Framework (FCRMF). The review was driven by the need to assess the effectiveness, alignment, and maturity of the firm’s current financial crime controls across key domains.
