Example 3 – Law firm global capital raising AML

Lawson Conner assisted one of the leading law firms in executing a multi-billion global capital raising program by providing global KYC/AML services

Situation

The client (a top tier law firm) needed a complete global AML solution and investor onboarding services all in one platform as part of their >$1bn capital raising.

Barriers to success

The client was working against a very tight deadline of only two weeks and needed an organisation which can complete the project on a global scale. This involved the processing of a vast amount of data, the review of complex investor structures and the application of a global AML program. In order to meet the deadline a software solution was required.

Solutions provided

Lawson Conner provided a number of solutions to the client, which included Lawson Conner’s AML software MaxComply:

  • Fully integrated AML solution with dedicated escalation structures
  • Service provided on a managed compliance basis
  • Ongoing monitoring services to comply with global KYC/AML regulations
  • IT platform for data exchange over multiple offices and jurisdictions
  • Full reporting and audit trail
  • Scalability for further capital raisings
  • Ongoing monitoring of AML provisions and data as part of compliance monitoring program
  • Use of Lawson Conner’s AML software suite to reduce risks and increase efficiency

Results

A great number of individual AML checks have been performed within a very tight deadline with great quality. As a result, the client was happy to confirm another mandate on a similar basis to Lawson Conner with the third mandate already announced in the near future.