Policies, Procedures, Systems & Controls

We will develop policies and procedures related to Anti-Money Laundering (AML) / Counter Terrorism Financing (CTF) / Sanctions / Know Your Customer (KYC) and other compliance-related topics. We will also help firms effectively implement these policies.

Our compliance solutions would perfectly complement the respective organisations’ internal policies and provide considerable benefit. We will assist our clients in developing compliance monitoring programs (CMP) and risks & controls self-assessment (RCSA).


We will develop policies & procedures customized to the needs and the risk-appetite of the respective organizations. They will be updated as and when there are changes to the rules and regulations. We shall take feedback from all the relevant stakeholders prior to finalizing the policies. We will assist the compliance department in communicating any material change to the policy and organize training sessions, as necessary.

These policies and procedures include:

  • Client Acceptance
  • Sanctions
  • Intermediary (Introducers)
  • Escalation Procedure
  • Gifts, Entertainment and Political Contributions
  • Whistleblowing
  • Complaints Management
  • Personal Account Dealing
  • Grievance Management
  • Outside Business Activities
  • Conflicts of Interest