

A significant UK and US corporate bank with questions around the quality of the firm’s AML capabilities and customer files
Corporate, Wholesale and Investment Banking
KYC Remediation
A significant UK and US corporate bank
The bank had grown rapidly and an audit in late 2020 raised questions about the quality of the firm’s AML capabilities and customer files.
Lysis worked with the bank’s AML compliance and AML operations team to provide the following services:

Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.

A large U.S. based end-to-end human resources management firm and Lysis delivered a solution for the newly established UK/EU subsidiary which forms part of the SEC regulated entity.

Lysis reviewed the exchange’s AML/CTF framework which resulted to a successful maturity assessment review.