Saturday 15th December 2018
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Comsure operates in:the UK, Jersey, Guernsey

Financial services (Banking, investment business, securities, funds, insurance, and trust and corporate service providers) and AML/CFT issues across financial services Designated Non-Financial Businesses and Professionals and Non Profit Organisations.

Governance and structural matters are critical to a country’s financial services regulatory framework and with this in mind Comsure can advise on all regulatory and supervisory matters associated to:

  1. Financial services (Banking, investment business, securities, funds, insurance, and trust and corporate service providers)
  2. Designated Non-Financial Businesses and Professionals and Non Profit Organisations.
  3. AML/CFT issues across the above

Further to these areas Comsure can provide Technical Assistance (to the executive or non-executive board of a regulatory Authority and / or to Government) in a number of respects that include:-

Strategic thinking Regulatory specific matter AML/CFT matters
  1. Matching international co-operation, law and practices
  2. International co-operation
  3. Managing transparency and key relationships
  4. Consider agency Remit, responsibilities, enabling law
  5. Review Board structure, representation, independence and accountability
  6. Objectives and over-arching policies (e.g. licensing policy -v- growth)
  7. Resources, competencies, funding and effectiveness
  8. Regulatory Risk management
  1. Adopting a risk based approach to supervision
  2. Building visit plans
  3. Monitoring supervisory teams
  4. Writing codes and guidelines
  5. Assisting with
    1. Enforcement case management
    2. Reporting professional appointments
    3. Decision making process
  6. Assisting with regulatory and industry training plans
  7. Investigations –
    1.  An investigation may look into conduct of a regulated person
    2. Provide an independent review of a complaint about the regulatory authority.
  1. Detailing the risks faced by the jurisdiction,
  2. How its measures address them and how agencies divide responsibilities and cooperate effectively with one another.
  3. Technical assistance can be provided to ensure legal provision meets FATF requirements such as
    1. Writing regulatory guides and hand books
    2. Providing industry and regulatory training
    3. Coaching regulatory visit teams
    4. Assisting with regulatory visit plans
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