Regulatory risk management and capital protection
Protecting asset management structures and the reputation of investment funds. We cover source of wealth work, compliance across several jurisdictions and sanctions risk.
Book a consultationWhere control sits in the chain
Identity, PEP status and sanctions lists
Source of funds and source of wealth
Beneficial owners of the companies and trusts involved
Risk level review and file updates
The regulatory reality in your sector
Sanctions and PEP risk for senior management
Large fines and frozen assets if a sanctioned person, a connected party or a politically exposed person is accidentally taken on.
Complex source of wealth work
Confirming source of wealth and source of funds is hard when capital was built over years and passed through layered ownership structures.
Fragmented cross-border regulation
Balancing the requirements of several countries where the fund holds assets, each with its own tax, disclosure and onboarding rules.
Expertise without a large team
An investment boutique or family office needs mature risk control without the cost of a big in-house compliance department.
The capabilities your business needs most
We write the sanctions policy, set up screening of customers and counterparties, and define what happens on a hit.
Explore Sanctions Compliance →We write the internal control rules for your products and investor base, including the procedures for legal entities and ultimate beneficial owners.
Explore Internal Control Rules and AML Policies →We assess ML/TF risk at the level of the whole firm and can refresh the assessment when new products or acquisition channels launch.
Explore ML/TF Risk Assessment →We run the compliance or AML function on a retainer without adding headcount. The responsible officer and the signature stay with you.
Explore Compliance Outsourcing →Ready to protect your business?
Tell us about your situation and we will point you to the first step.
Book a consultation