Geographical Scope        
     
   
 
 
     
   
     
   
 
     
 
  Due Diligence & Compliance for Bank, Financial Instituations & Stock Exchange  
     
 
  • KYC/KYI modules implementation (Know your customer/Know Your Investor)
  • Full Anti-Money Laundering scheme implementation (AML)
  • ATF (Anti-Terrorism Financing)
  • Members Acceptations Policy (MAP)
  • Behavioral due diligence (BDD)
  • Risk management:

    - Insiders trading risk - Money-laundering risk
    - Operational risk
    - Insolvency risk on derivatives and futures
    - Reputation risk
    - Concentration risk

EXAMPLE: Definition of rules for a stock exchange:

Integration of international agreements policies:
  • FATF
  • BASEL I & II / IOSCO BASEL
  • OECD anti-bribery convention
  • WTO principles
  • UAE-US FTA
Assessment of anti-fraud instruments:
  • Sarbanes Oxley Act
  • Solvency 2
  • FCPA
  • US Patriot Act
  • US Office of Foreign Assets Control
  • BIS
  • Wolfsberg Principles
Benchmark of international best practices:
  • Montreal Stock Exchange (Canada)
  • US SEC
  • French COB
  • French privacy law: “informatique & libertés” / US Bank Secrecy Act
 
     
 
     
 
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