Sanctions

 

Track and demonstrate compliance with sanctions rules:

  • Senior Management Responsibilities

  • Policy Development and Alignment

  • Global and Group-Level Coordination

  • Risk Assessment and Management

  • Horizon Scanning and Scenario Planning

  • Screening Tool Selection and Calibration

  • Data Sources and List Management

  • Ongoing Monitoring and Alert Handling

  • Testing and Tuning of Screening Systems

  • Customer Due Diligence (CDD) and Know Your Customer (KYC)

  • Beneficial Ownership and Control Checks

  • Training and Awareness

  • Incident Management and Reporting

  • Breach Reporting to OFSI and FCA

  • Asset Freezing and Management

  • Third-Party Relationships

  • Termination and Exit Strategies

  • Technology and Automation

  • Record-Keeping and Documentation

  • Continuous Improvement

 
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