EXPERT CARisk-based compliance assessments
Compliance reviews may consider customer identification and due diligence, beneficial ownership, transaction monitoring, suspicious activity escalation, sanctions screening, training, governance, and independent testing. Applicable requirements differ according to the entity, activities, jurisdiction, and regulatory classification.
Digital asset considerations
Virtual asset activities introduce additional risks involving wallet attribution, chain analytics, cross-border transfers, decentralized protocols, and interactions with custodial service providers. Effective controls should align alert logic and investigative procedures with the institution’s actual transaction flows and available data.
Testing and remediation
Evidence-based testing assesses whether documented policies are reflected in actual operations. Reviews can examine alert disposition, exception management, escalation timelines, record retention, and control gaps. Recommendations should distinguish regulatory obligations from prudent risk-management practices and identify realistic remediation priorities.
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Contact Expert CA →Content is general information and does not constitute legal advice or a representation regarding the outcome of any matter.