Branch Exams and Program Design

Branch exams are a critical part of every broker-dealer’s system of compliance and controls, and must address risk while ensuring your firm is complying with relevant rules and regulations.  Branch exams are more than just walking into a location and working from a standard checklist. Branch location types, business lines, products, firm changes and varying… READ MORE

Oyster Consulting (Bermuda) Presents AML Audit/Sanctions Lecture

  Oyster Consulting (Bermuda) Ltd Consultant Henry M. Komansky, J.D., presented another in his very popular series of lectures on 7th September 2016 discussing the new requirement under the Bermuda Proceeds of Crime Amendment Act 2015 for AML audits as well as sanctions, with a focus on UK and Bermuda laws and regulations. On 1… READ MORE