Pursuant to a settlement with US authorities, FINTRAIL served as an independent consultant reviewing a multinational banking group’s sanctions screening programme. The review focused on policy and procedures, the assessment and validation of software programs and vendors, validation of filter settings, data quality, and alert adjudication and investigations. FINTRAIL provided onsite resources in both the client’s Milan headquarters and its London offices.
FINTRAIL conducted an independent audit of a UK EMI’s anti-financial crime framework to assess whether it was comprehensive and proportionate to the nature, scale and complexity of the firm’s activities with a focus on regulatory compliance, best industry practice and operational effectiveness. The audit covered the entire anti-financial crime framework and was conducted through document reviews, thematic sessions, interviews and testing.
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