Ogier Regulatory Consulting

'To the point' and pragmatic regulatory advice.

Assistance in all regulatory matters, including:

• Management and mitigation of regulatory risk

• Formulation of a regulatory engagement strategy, fostering a co-operative relationship

• Regulatory inspections, applications, submissions and inquiries

• Identification and assessment of business (ML/TF/PF), customer, compliance and enterprise risks

• Design and implementation of systems and controls (including policies and procedures)

• Virtual assets and virtual asset service providers

• Multi-jurisdictional blockchain investigations

• Virtual asset wallet risk screening

Provide support to CO, (A)MLCO and MLRO functions where required, for example with:

• Compliance monitoring and testing

• Compliance reporting

• Ongoing monitoring of customers (e.g. periodic reviews, transaction monitoring)

• Bespoke secondment arrangements

• Outsourced AMLCO services (Cayman only)

Expert, independent assurance. This includes:

• Full or themed reviews to test compliance with regulatory requirements (eg third line internal audit functions and regulatory health checks)

• Remediation effectiveness testing

• Board (or equivalent) effectiveness assessment

• Regulatory due diligence for mergers and acquisitions

• Design, creation and delivery of sustainable remediation action plans

• Support internal and external remediation communication plans

• Prepare and deliver bespoke training across varied regulatory disciplines

• Train the trainer services

Further information on our Cayman training solutions can be found on our Compliance Training Series website.