Our Services

• Carrying out financial crime Risk Assessments, advising on structure and roles within regulated firms on implementing recent legislation, FSA rules and industry guidance concerning money-laundering, terrorist financing, fraud and other financial crime.
  
  
• Drafting bespoke Policies, Procedures and Staff Handbooks for firms.
  
  
• Auditing clients’ AML / FC systems & controls, presenting reports to Audit Committee/Board + follow-up as necessary.
  
  
• Presentations to Boards and Senior Management Teams on the UK AML / Financial Crime regime.
  
  
• Creating and delivering AML/FC Workshops, Seminars and other professional training events in association with the BBA, the Securities & Investment Institute, the Institute of Internal Auditors, IMLPO, MLROs.com, M.I.S., Infoline / I.R.R. and the International Compliance Association (ICA).
  
• Advising clients on their staff training strategy and providing in-house, tailored training via classroom-style presentations or e-learning and testing.
  
  
• Lecturing on the Graduate-level Diploma, M.A. and certificated courses facilitated by the ICA in conjunction with the Cass Business School, City University and Manchester University Business School.
  
  
• Contributing to and authoring books and other publications on money laundering and financial crime.
  
  
• Advising clients on preparing for, managing and following-up on regulatory visits, including FSA “ARROW 2” reviews.
  
  
• In response to requests from contacts and clients a full Non-Executive Director service is now available. David has previously been an Approved Person under the FSA's rules and has carried out critical Controlled Functions over a number of years.
  
  
• A bespoke review of a firm's compliance with UK and international Sanctions requirements.