A European investment bank had a surge in hits from screening and on-going monitoring in relation to PEPs, sanctions and adverse media monitoring.
Corporate, Wholesale and Investment Banking
Screening Managed Service
Our client had implemented a new transaction monitoring system and wished to ensure that the previous two years' transactions had been monitored effectively.
Following a visit from the regulator, a global inter-dealer broker was put under a Section 166 order.
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.