Compliance

We help firms identify, assess and mitigate against the risks

With a proven track record, our team of compliance advisors possesses extensive expertise in guiding organizations through regulatory changes and aiding them in establishing effective controls to ensure compliance. In an industry that constantly faces substantial regulatory shifts, we understand the difficulties organizations encounter in comprehending new regulations, adapting controls to the evolving landscape, and maintaining the confidence of senior management and regulators in the effectiveness of these controls.

Why Berkeley & Lords?

Equipped with a team comprising former regulators, we are fully prepared to assist you in comprehending your risks and implementing optimal control measures to guarantee the efficacy of anti-crime procedures.

We emphasize an assertive strategy that places your requirements as the foremost priority and provides proactive resolutions to assist you in mitigating potential risks.

The Gateway, our cutting-edge compliance software solution, consolidates all of your firm's compliance procedures and ensures their effortless accessibility.

Ensure protection against financial fraud.

Financial crime poses an escalating danger to enterprises. It encompasses both internal and external threats, necessitating constant adaptation to evolving regulatory requirements. In recent years, regulatory bodies have intensified their oversight of authorized firms, demanding tangible evidence of their dedication to combatting financial crime. Against this backdrop, we have crafted a comprehensive range of services designed to detect and expose financial crime, while establishing resilient controls and procedures to counter it. Our proficiency extends to identifying and enforcing measures against all forms of financial crime, encompassing anti-bribery and anti-money laundering efforts.

Compliance

Compliance Advisory Services

Financial reporting regulations are intricate and are applicable universally, encompassing both major global establishments and individual entrepreneurs. Smaller businesses may find it challenging to stay abreast of the intricacies involved in regulatory reporting.

Due to the 40 recommendations set forth by FATF, governments worldwide have been actively engaged in strengthening their legislation, regulation, and oversight to effectively address the issues of money laundering and terrorist financing in recent times.

Market Conduct has consistently remained a top priority for the FCA, encompassing a wide array of areas such as market manipulation, insider trading, information barriers, personal account transactions, market surveillance, and financial crime.

The FCA has established the Client Asset Sourcebook (CASS), which outlines the regulations that firms must adhere to when managing and safeguarding client funds and assets.

Our ESG advisory service has been specifically developed to equip investment managers with the necessary resources to effectively navigate the ever-changing regulatory and legislative ESG environment.

Our team of consultants is available to assist you in implementing the Consumer Duty within your organization, regardless of whether you operate as a distributor, manufacturer, or part of the distribution chain.

Shareholders and other stakeholders of a company have high expectations when it comes to good governance practices, which are considered a fundamental requirement. Throughout the course of corporate and regulatory failures in history, the existence of flaws in corporate governance has remained constant.

We provide assistance to companies involved in M&A transactions within the global financial services sector, catering to both buyers and sellers.

Waystone is available to assist you as your business progresses, whether that entails new business endeavors or alterations in company ownership.

The failure to recognize and effectively handle risk is frequently the underlying reason behind significant failures experienced by both financial institutions and various sectors within the financial services markets.

How we help

We are capable of assisting in the evaluation of your company's current anti-money laundering (AML) structure, which encompasses the customer due diligence (CDD) program, financial crime policies, and the provision of risk assessments.

We conduct an autonomous audit to investigate and assess the policies, controls, and procedures of your company, which includes a thorough examination of the firm's KYC onboarding records.

We offer efficient and pragmatic solutions for outsourced customer due diligence, KYC, politically exposed person (PEP) screening, and sanction screening.

Financial crime consulting services

Anti-money laundering (AML)

Please contact the team directly to discuss your requirements.

Anti-bribery and corruption

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Anti-tax evasion

Please contact the team directly to discuss your requirements.

Cyber Security

Please contact the team directly to discuss your requirements.

Fraud

Please contact the team directly to discuss your requirements.

Market Abuse

Please contact the team directly to discuss your requirements.

Sanctions

Please contact the team directly to discuss your requirements.

Insider Trading

Please contact the team directly to discuss your requirements.

Berkeley and Lords Consultants

What You Need to Know About Us

We have a complete range of products capable to manage all your business requirements and delivered by meeting the world standards with great customer feedback. We identify your Business needs and give you ultimate comfort in your business operations.

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