The Challenges We Address
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Regulatory and Financial Crime Compliance
Typically, the local regulator or the Financial Action Task Force (FATF), the Office of Foreign Assets Control (OFAC) or the FinCen driven, both current and future requirements. - Effective Governance
Covering a multitude of risk areas, including the control and risk framework, reporting and decision hygiene, three lines of defense, and the operation and profile of the board. - Resourcing and Analytics
Ensuring the availability of the right people with the right skills fulfilling the right role on a dial-up, dial-down basis, leveraging external support as required. - Ensuring the Market Offering is Compliant
Covering areas such as market abuse, consumer protection, early warning of distressed protocols, new listings and existing protocols. - Managing Shock Events
These include class actions and legal risk and market disruption and malicious actors. - Data Quality
The accuracy and completeness of data are critical to the success of any data analysis. Data may be incomplete or contain errors, which can skew results and compromise the findings of an investigation, dispute or regulatory response.
- Legal Considerations
Facilitating a successful outcome in litigation, dispute and regulatory review requires an expert understanding of the legal and regulatory framework governing the use of data in disputes and investigations. Professionals must ensure their analysis is conducted in compliance with these requirements and that their findings are admissible in court. - Data Privacy
This is a significant concern, and organizations must ensure that they comply with relevant laws and regulations governing the use of personal information. Additionally, the process of data collection and analysis must be conducted in a way that protects the confidentiality of sensitive data. - Data Interpretation
Interpreting data is a complex process that requires expertise and experience. Organizations must be able to identify relevant data, recognize patterns and draw conclusions that are supported by evidence. - Communication
Communicating the results of a data analysis to clients, regulators or other stakeholders can be challenging. Organizations must be able to present complex information clearly and concisely, using visuals or other means to convey information effectively.
