Firm-Wide Risk Assessments
An in-depth review of your business-wide risk factors—including geographic reach, delivery channels, and proliferation financing risk—to ensure complete statutory compliance with Reg 18.
Systems Review
An independent review of your AML systems
AML policies and procedures can look comprehensive on paper but still contain gaps when applied in practice.
Our Systems Review provides an independent assessment of your firm's AML arrangements and identifies practical improvements that should be considered.
The review can also assist firms in determining whether they are meeting the requirements under Regulation 21 of the Money Laundering Regulations.
Policies & Procedures Manuals
We review, update, and draft customized AML Policy, Controls, and Procedures (PCP) manuals that match your practice size, eliminating generic boilerplate documents that regulators reject.
Reg 21 Independent Audits
Satisfy your legal mandate under Regulation 21 of the MLR 2017 to have your AML compliance independently reviewed and tested periodically by an expert external practitioner.
Supervisory Visit Pre-Screening
Are the ICAEW, ACCA, HMRC, or SRA knocking on your door? We perform an urgent virtual pre-inspection audit to flag deficiencies and remediate gaps before inspectors arrive.
Client File & CDD Sample Auditing
We pull and analyze a representative sample of your active client files to verify that your Customer Due Diligence, PSC register verification, and ongoing monitoring forms are legally defensible.
Written Compliance Reports
Receive a detailed, authoritative written audit report. This document can be presented directly to regulatory inspectors to prove your active, independent monitoring.
What You Receive Following Your Review
Following the review, we provide a written report identifying:
areas where existing arrangements appear appropriate;
weaknesses or inconsistencies requiring attention;
recommended improvements;
priorities for action; and
practical points for management consideration.
The purpose is not simply to identify deficiencies. It is to help the firm strengthen its AML arrangements and demonstrate that compliance is being actively reviewed.
