Outsource all your compliance tasks to a team of experts. Lawson Conner’s managed compliance solutions deliver considerable benefits to our clients.
With compliance requirements ever increasing, along with demands on in-house compliance teams, the risks of failing to meet these demands has also increased. The pressure to be compliant comes not only from the regulator but also from clients and investors who view non-compliance as a red flag for committing new funding. Managed compliance (i.e. compliance outsourcing solutions) can often provide the best strategy to resolve the issue.
Many financial services firms typically don’t have the requisite in-house resources and experience to meet regulatory requirements while larger financial services firms suffer from extraordinary compliance costs to ensure all necessary tasks are completed.
We provide a number of managed compliance support functions which enable clients to remain compliant while assisting in minimising regulatory risk and reducing costs:
- Financial Promotion Approvals
- Training and Competence Programmes
- Onboarding of new employees, suitability assessment
- Compliance Reporting
- Ongoing Compliance Monitoring (conduct monitoring programme)
- Delegated Risk Management
- Outsourced compliance functions and administration
- Client and investor suitability tests
- AML and KYC checks
- Trading reviews
- Structured Training & Competence programmes
- Regulatory Change program
All services are offered as either as a stand alone SaaS software solution or mSaaS solution (managed compliance solution).
Lawson Conner has assembled one of the largest and most focused compliance teams in the industry to help financial services firms manage their compliance obligations.
How can we help you? Our team of services professionals is ready to take your call and arrange a meeting.
Cayman MLRO and Anti-Money Laundering Compliance
Outsourced anti-money laundering (AML) solutions offering for Cayman funds
Have you appointed a Cayman MLRO yet? – Following the Cayman Islands Monetary Authority (CIMA) requirement to appoint an AML Compliance officer (AMLCO), Money Laundering Reporting Officer (MLRO) and a Deputy MLRO for Cayman domiciled funds, we have developed a comprehensive services offering, including the relevant appointments of regulatory experts, and the relevant compliance monitoring program.
For more information about the outsourced Cayman MLRO services, please read more here.
Regulated services are provided by either G10 or Sapia which are authorised and regulated by the Financial Conduct Authority of the United Kingdom. Lawson Conner Services a compliance services firm and provides non regulated services.