Advice

  • Assistance prior, during or post a regulatory PRISM review

  • New license applications or amendments

  • Reviewing your Business Risk Assessment

  • Designing a compliance monitoring plan

  • Independent assurance review of your Compliance Department

  • Effectiveness of periodic reviews

Support

  • Drafting or reviewing policies and procedures

  • Creating a regulatory footprint for your business and mapping regulatory requirements to your policies and procedures including a gap analysis

  • Mapping regulatory requirements to your policies and procedures with a gap analysis

  • Temporary cover for nominated roles

  • Assisting with due diligence when acquiring a block of business

  • Effectiveness review of any automated screening systems

Training

Training can be generic or tailored to your specific business and will use real scenarios and case studies.

  • General training for all staff to provide an awareness of responsibilities

  • Enhanced training for Boards, NED’s and Senior Management

  • MLCO, MLRO, CO training

  • Training to staff in other jurisdictions on the Guernsey Handbook requirements

  • Non-executive Directorships can be provided

Let’s get started

Contact us for a discussion about your goals and how we can help you achieve them!

Let’s Talk