Operational AML & Compliance services

AML / KYC as a Managed Service

Ensuring adequate due diligence measures at the entry into a business relationship, having up-to-date data and documentation and staying compliant vis-à-vis an ever-evolving regulatory landscape are key and continuous challenges that Investment Fund Managers, Investment Funds and Asset Service Providers need to address on top of their everyday activities. This concerns all relevant parties, such as investors, distributors, delegates and assets.

By combining our operational AML/KYC expertise with digital Investor Onboarding capabilities through our partnership with Fenergo, we can:

• Facilitate your investor onboarding experience
• Manage the initial and ongoing due diligence process of your investors, distributors, IFM counterparts and assets
• Perform screening and ensure that the level of risk assigned is accurate and the level of due diligence is adequate
• Provide you with the status of the process by granting you access to our digital solution
• Enable you to monitor the activities that you have outsourced to us on a continuous basis

MLRO / RC Services

You are an Investment Fund supervised by the CSSF or under the regulatory authority of the AED and facing the challenge of finding the right RC.

We can assist you by acting as RC and enabling you to fulfil your obligations, including, but not limited to:

• Implementing and/or monitoring the Fund’s compliance with AML/CFT policies and procedures  and with the AML/CFT legal and regulatory framework
• Preparing and updating the annual AML/CFT risk assessment
• Preparing periodic and ad hoc written reports to the management/Board of Directors
• Performing AML oversight on service providers (transfer agents, portfolio managers and distributors as needed)
• Preparing annual AML/CFT training for relevant persons (including RR)
• Preparing summary reports on the RC’s activities and operations, at least once per year
• Serving as the primary contact with the Luxembourg authorities for AML/CFT purposes and being registered with goAML (FIU)

Our team has extensive expertise in both CSSF and AED supervised vehicles, enabling us to handle mandates across a wide range of entities.