Going Beyond the Box Ticking Exercise of Compliance

Compliance. No longer a tick box exercise.

In a principles based regulatory regime, we can help our clients avoid accusations of negligence by going beyond current practices in the compliance process. Our open source intelligence adds additional insights and evidence that are currently missing or not being used.

We can help you comply with the following regulations

Senior Managers & Certification Regime
4th & 5th Money Laundering Directives
Modern Slavery Act
Gambling Commision Guidelines
Bribery Act
Criminal Financies Act
Counter Terrorism Act

Compliance requirements

The world has changed, the wave of new regulations are designed to re-establish trust in the financial sector. Companies have to not only comply with the spirit of the regulation but they must provide evidence of what they have done. This is where we go beyond current practices. Here are a few examples where our analysis can provide support.

Senior Managers and Certification Regime

All employees are now subject to an annual ‘fit and proper’test. This needs to evidence a person’s conduct, including a character assessment. Our continuous or periodic screening process would proactively contributes to this process, highlighting non-compliance, behavioural and reputational issues.


We provide insights over and above current services. Our approach looks at traits such as background, current lifestyle, contacts, networks and influencers allowing you to build up a wider profile of both individuals and companies.

Modern Slavery Act

The Modern Slavery Act marks a significant step in the move towards transparency in business and supply chains. Companies must now be clear about what they are doing in relation to human trafficking and forced labour from the supply chain in order to both comply with the law, and to retain the confidence of customers, investors and other important stakeholders. We can help you comply by providing analysis and insights into companies in your supply chain.  We are supporting our chosen charity, Stop The Traffik, by providing pro-bono analytical support.

Not just ticking a box but doing the right thing

Contact us


+44 (0) 208 090 2622

Neotas, 7th Floor, 2 Finsbury Avenue, London, EC2M 2PA