Banks and Financial Institutions

• Banks
  • Private Banking
  • Asset Servicing (depository, custodian, etc.)
  • Commercial Banking
• Investment Firms
• Professionals of the Financial Sector
  • Specialized PSFs
  • Support PSFs
• Payment and Electronic Money Institutions
• Investment Fund Managers
  • Management Companies
  • Alternative Investment Fund Managers (AIFMs)
• Insurance companies

Government Institutions

Family-owned Businesses

Universities

Corporate Governance and Internal Control frameworks

• Setting up corporate governance and internal control framework that is robust and can provide bottom up oversight for the benefits of the supervisory board.
  • Application of the Three Lines of Defense (3LoD) model
  • External advice to Directors / Board members
  • Trainings and spotlight sessions on regulatory references, industry knowledge, risk frameworks, and emerging risks and opportunities.
  • Top down risk assessments to guide Board agendas and mandates.
  • Reporting to the internal governance bodies
  • Committee terms of reference and other documentation review
  • Setting out organisation wide policies

Risk Management strategy and frameworks

• Setting up enterprise wide risk management frameworks and facilitation of implementation
• Policies, procedures and process flow design to suit the oganisation needs tailored to deliver compliance with applicable regulatory requirements.
• Training materials and delivery of training.
• Climate risk action plan development
• Risk Committee support
• Risk Control Self Assessment exercise facilitation
• Development of key risk indicators
• Setting up loss data base.

Compliance and Regulatory Projects

• Standing up regulatory projects
• Setting up key milestones for regulatory dashboard
• Regulatory watch services to keep you ahead of change in regulations
• Regulatory interpretation
• Compliance policies, plans, etc.
• Training materials and delivery of training.