Long-term, Large-scale Compliance Audit for a Financial Services Client

Long-term, Large-scale Compliance Audit for a Financial Services Client

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Case Studies

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An Extensive Second Request Review Conducted On Time and Over $1M Under Budget

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Summary

Client industry:

Financial Services/Banking

Overview:

Special Counsel completed an audit of tens of thousands of financial accounts for BSA, AML and KYC compliance within a strict timeframe. Our attorneys were knowledgeable about financial services regulations and exceeded the client’s expectations throughout the 18-month project.

Opportunity

Our client, a premier New England-based financial services and asset management firm, engaged Special Counsel to manage account audits for a long-term compliance matter. The audits were needed to verify account-level compliance with the Bank Secrecy Act (BSA), the Patriot Act, and US Treasury regulations concerning Anti-Money Laundering (AML) activities, Know Your Customer (KYC), and Enhanced Due Diligence (EDD).

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