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 European wholesale and investment bank with global reach was put under a Section 166 order due to regulatory concerns regarding their KYC and AML controls.
A successful regulatory turnaround for a UK EMI and crypto firm, restoring FCA permissions and avoiding administration under new leadership.
A Norway-based crypto broker registered with the Norwegian Financial Authorities. The client had rapidly scaled its operations to meet growing demand in the crypto sector but faced increasing regulatory scrutiny from both national and European regulators.
