Services We Provide

KCG provides commercial and retail banks, investment banks, financial services firms, FinTech/RegTech companies, and other non-financial entities, with the power to face the challenge of complying with local and international financial crime regulations.

KCG’s multilingual, multidisciplinary regulatory, compliance, and anti-money laundering (AML) experts have experience with international standards, and leading industry practices, throughout the US, Europe, the Middle East, and Africa regions, including the EU directives and the U.S. rules such as the USA PATRIOT Act, the Bank Secrecy Act (BSA), and the Office of Foreign Assets Control (OFAC) requirements.

We evaluate the existing compliance systems in order to enhance and maintain the anti-money laundering (AML), combating the financing of terrorism (CFT), anti-bribery and corruption (ABC), risk management, and regulatory compliance programs, in order to mitigate reputational and regulatory risks that any institution faces. KCG not only identifies the issues at hand, but it also guides the client’s responses to regulatory investigations and communications with regulators, designs remediation of identified compliance gaps, and provides the required resolution.

The current digital landscape has created an increase in data and data sources, creating unique compliance risk challenges to financial institutions. KCG helps clients identify the right tools and technology to ensure that enterprise-wide anti-money laundering (AML) and due diligence programs respond to compliance requirements and do what they need to do, correctly, and efficiently.

KCG will assess the effectiveness of a financial institution’s existing technology, policies and processes, apply best practices, and make recommendations that enhance both operational and technological efficiency.

KCG focuses on AML monitoring and sanctions screening system reviews to assess the financial institution’s automated platforms and to independently evaluate the soundness and efficacy of the system design and the system’s ability to appropriately detect unusual and potentially suspicious activity. The assessments are designed to align with International best practices and standards, and include a review of the system’s Conceptual Soundness, Data Quality, Implementation Accuracy, Outcomes Analysis, Model Governance, Sanctions List Management Review, and Sanctions Screening and Alert Review.

 A comprehensive Know Your Customer (KYC) framework which includes the required transparency in transactions and customer identity verification enables financial institutions to establish customer risk profiles that facilitate the ongoing monitoring of customer relationships in adherence to regulatory obligations. Given the multitude of methods that criminals can use to hide their true identities, implementing and maintaining a robust KYC due diligence program can be at times overwhelming.

Failure to properly gather and analyze customer information, fully understand the nature and purpose of customer relationships, appropriately assess and maintain customer risk profiles, and mitigate risks associated with financial crimes - including money laundering - can lead to major enforcement actions that in turn can result in fines, sanctions, and reputational damage.

The collection and analysis of customer information is an integral part of a financial institution’s risk-based Anti-Money Laundering (AML) and Counter-Financing of Terrorism compliance program. 

KCG assists institutions in developing and enhancing KYC policies and procedures, including customer identification programs and customer due diligence (CDD) and enhanced due diligence (EDD) processes, that both meet current regulatory standards and align with an institution’s unique risk profile. 

With our help, financial institutions can strengthen their customer risk rating models, and by understanding that customer information and related transactions change over time, we work with clients to implement processes that allow for ongoing reviews to ensure that as the customer relationship evolves, so does the appropriate oversight.

KCG delivers comprehensive background information on individuals and companies around the world. Our 360 degrees background investigations draw from a wide variety of sources, including public records available online and through on-the-ground research. Such records include sanctions lists screening, litigation filings, financial records, judgments, liens, corporate records, bankruptcy proceedings, media reports, social media and many other sources.

Information gathered will identify misrepresentations, misstatements, nondisclosures of material information, patterns of unethical behavior, and other indicators that could pose risks to our clients, and we present our findings in clearly constructed, issue-driven reports. The scope of the 360 background investigations is to respond to the specific needs and risk profiles of each client.

 KCG works closely with clients to address their most complex sanctions-related issues, and to help them manage and enhance their global sanctions risk management programs, including OFAC and European Union (EU) sanctions compliance requirements, among others.

The widespread use and complexity of economic sanctions has made doing business on a global scale increasingly challenging. Banks and other financial institutions, corporations, and shipping and manufacturing companies face a sophisticated regulatory environment that can expose them to sanctions risk and result in significant monetary fines and reputational damage. Therefore, understanding, identifying and managing economic sanctions risk is crucial to safeguarding against known negative outcomes.

KCG’s sanctions professionals are expert in conducting sanctions-related investigations, including identifying and collecting the relevant documentary information, analyzing shipping and invoicing data, and analyzing financial records to trace transactions and the flow of funds.

The point of the General Data Protection Regulation (GDPR) is to provide clarity and consistency for the protection of personal data. It imposes rules on organizations that offer goods and services to people in the European Union, or that collect and analyze data tied to EU residents, no matter where they’re located. The GDPR establishes enhanced personal privacy rights, increased duty for protecting data, mandatory breach reporting, and significant penalties for non-compliance.

KCG’s experienced team of professionals provides clients with the elements of full compliance with data protection rules and regulations as established by the GDPR.

Our services include:

• Raising awareness across your business
• Audit all your personal data
• Updating your privacy notice
• Reviewing your procedures supporting individuals’ rights
• Reviewing your procedures supporting subject access requests
• Identifying and documenting your legal basis for processing personal data
• Reviewing how you seek, obtain and record consent
• Reviewing the data you hold on children
• Establishing procedures to detect, report, investigate a personal data breach
• Help in appointing a Data Protection Office (DPO)