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Cases we have handled

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Risk Review conducted on a Japanese Re-insurance firm

We were instructed by a Japanese parent company to conduct a full risk review as part of the application by the UK branch for FSA regulatory approval. As a result of the review we produced a complete operational manual for the firm and conducted staff training. This was particularly important for Japanese trained staff who were unfamiliar with UK regulatory procedures Re: K

Anti-money laundering risk review of a bank

We conducted a complete risk review of the London subsidiary of a Spanish bank where the new MLRO was concerned that they may be in breach of AML regulations. The result was our creation of complete operational manuals both for general staff and the MLRO as well as the design of risk alerts and the customer due diligence processes Re Bank S

Fraud risk review at a commodity trader

We were asked to conduct an investigation into the fraud risk controls within a commodity trader who had been subject to fraudulent losses caused by one o their own traders. We produced a comprehensive report highlighting weaknesses and proposing new controls which were subsequently implemented Re FT

Review of a bond traders systems for measuring overnight risk

We were asked by a specialist Japanese bond trader to investigate their system of reconciliations and reporting of overnight exposures and ensure that they were strictly compliant with FSA requirements. Re S 


Risk review of claims within a Prospectus being issued to a small group of experienced investors

We were part of a team of reporting lawyers and accountants who were reviewing the claims within a prospectus for the issuance of shares in a company launching mobile phone software Re A plc