Our Services Include But Are Not Limited To...
AML/CFT Training...
For all staff including specific training for the Board and Senior Management as required by the Handbook
MLRO Training
Client Due Diligence Reviews...
In accordance with your procedures and processes with due consideration to the Handbook utilising a well known intelligence system.
New Business Reviews...
And reports to the Board with full CDD reviews and recommendation to the Board in relation to the business take on.
Pre-commission Visit Reviews...
to identify weaknesses in procedures and processes that can be rectified before the commission arrive. This enables the Board to demonstrate that they take matters of compliance seriously and are in the process of, or have already, rectified any deficiencies identified in the review.
Project Work...
On a retained basis such as completion of retrospective CDD projects, testing of introducers and client reviews.
Compliance Monitoring Services...
In relation to general aspects of compliance such as the implementation and use of procedures. If a monitoring programme is not in existence or requires work then the design and implementation of a compliance monitoring plan can also be undertaken.
Procedural Drafting...
In consultation with management/users.
Procedural Checks and Enhancements...
Where you are finding these to be lacking.
Independent Reviews...
Of existing procedures to ensure that they comply with the Handbook.
Independent Trust/Company/Client/Ad Hoc Reviews
Circular...
In relation to updates to legislation, regulation, rules and guidance as issued by the GFSC and other updates issued by other agencies as and when they are required for all retained clients.
Drafting of Business Risk Assessment...
In consultation with the Board and for approval by the Board.
Drafting of Risk Ratings...
For your clients in accordance with your procedures and with due consideration to the Handbook for approval by your management team.
Review of High Risk Client Base
Complementary Reminders...
To all retained Clients in relation to GFSC deadlines approaching i.e. accounts filing and annual report in relation to business under management.
Review of Administered Non-Regulated Financial Services Businesses...
To ensure that the standard of corporate governance and record keeping generally is up to the standard expected by the Commission and that the regulated fiduciaries procedures and processes are being applied to the entity concerned.
Review of Managed Trust Arrangements...
To ensure that standard of corporate governance, management and control, record keeping and local Board control generally is up to the standard expected by the Commission "Guernsey Centre of Gravity",
Drafting of Disaster Recovery Plan...
In consultation with key members of the management team.
Review and Testing of Disaster Recovery Plans
General Training...
For all staff in relation to procedural updates or reinforcement, updates in AML and any other training required in relation to compliance in the fiduciary sector generally.
General Advice...
On all aspects of Compliance within the Fiduciary, non-regulated and prescribed Sector in Guernsey and the provision of support sessions to compliance officers and MLRO’s as and when required.
It Is Worth Noting That...
All services mentioned or subsequently agreed between us are supplied in good faith and on a consultancy basis. A Company is able to delegate any part of it’s compliance function in accordance with the Handbook, compliance with the Laws, Regulations, Rules and Guidance, but compliance remains the full responsibility of the Board as stated in the Regulations.
