One of our most popular services. We can design to best suit your needs but typically a Regulatory Review encompasses all requirements imposed on your licence type and any special conditions imposed by the Regulator to report on status of compliance and make recommendations.

Our AML Audit is a limited type of Regulatory Review focusing specifically on the requirements of the Proceeds of Crime Law, the Anti-Money Laundering Regulations and where you require other anti-financial crime requirements such as the Anti-Corruption Law, Sanctions Orders, Companies Law regarding beneficial ownership registers and the Guidance Notes on the Prevention and Detection of Money laundering and Terrorist Financing in the Cayman Islands.

We can also design reviews and audits to test compliance with regulatory requirements applicable to your overseas operations.

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We are passionate about the need for quality training to ensure knowledge and competence for your staff and Board.

At a minimum, regulated entities in the Cayman Islands must provide training for its staff and board on the laws and regulations pertaining to the Proceeds of Crime Law and the Anti-Money Laundering Regulations; the firms’ own procedures to comply with the laws and how to recognize suspicious activity. We can provide this and more, working with you to instill a positive approach to training.

We can also conduct and report on competence assessments and assist in devising development plans and appraisal criteria.

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We can help you update your written compliance policies and procedures and related documentation whether for new licences, in the event of changes to your structure or business plan, or changes to the regulatory requirements.

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We can assist you to review and ensure recordkeeping is up to date and compliant, following new requirements, to address legacy issues or following acquisitions.

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In certain cases you may prefer or need to outsource the Compliance Officer Role to us, either temporarily or permanently, for example when in the process of recruiting a new CO or to ensure an adequately competent person is in the position.

We work with you to conduct a feasibility assessment dependent on your needs and other resources. We can also assist with recruitment: job description, interviewing and selection.

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In certain cases you may need to outsource the Money Laundering Reporting Officer or Deputy Money Laundering Reporting Officer role, to us either temporarily or permanently for example to ensure independence. We work with you to guide on the need and to explore options.

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Regulators and supervisory bodies can outsource inspection to us and we also offer Mock Regulatory Inspections for firms.

Whilst similar to a Regulatory Review, the Mock Regulatory Inspection walks you through the inspection process including advice on how to respond to requests for information. the draft inspection report and mock staff interviews.

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You may be considering entering markets overseas, new relationships with intermediaries or simply wish to assess country risk as part of your overall risk assessments.

We can assist by providing information and comparisons using our experience in the regulatory requirements of the UK, Channel Islands, US and most jurisdictions in the Caribbean.

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