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?
Expertise from ex-regulators
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.
A proactive and focused approach
We emphasize an assertive strategy that places your requirements as the foremost priority and provides proactive resolutions to assist you in mitigating potential risks.
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 Advisory Services
Prudential rules and regulations
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.
Client Money & Assets (CASS) Solutions
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.
Compliance and risk management framework
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
Develop a financial crime framework
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.
Run an AML audit
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.