ADL Compliance Limited Information

ADL COMPLIANCE LIMITED (ADL) provides regulatory, compliance, operational risk management, anti-money laundering, and business consultancy and support to financial and non-financial services businesses either during their pre-licensing and/or post-licensing stages. ADL is highly experienced in these areas in a variety of industry sectors and is fully resourced to assist you with your compliance and related requirements. The depth of knowledge and our practical hands-on experience provides licensed firms with cost efficient and effective support. Our Services: Compliance Services ▪ Compliance Program Development ▪ License Applications for all types of regulated activity ▪ Client File Reviews for all types of regulated activity ▪ Regulatory Onsite Preparation for prudential onsites ▪ Compliance Policy and Procedure Manuals ▪ Client Remediation Projects ▪ GAP Analysis on current policies and procedures against laws, regulations and guidance notes ▪ Compliance Officer Duties AML ATF Services ▪ Client File Reviews for AML/ATF ▪ Regulatory Onsite Preparation for AML / ATF onsites ▪ AML/ATF Policy and Procedure Manuals ▪ Client Remediation Projects for AML/ATF ▪ GAP Analysis on current policies and procedures against AML, ATF, and Sanctions laws, regulations and guidance notes ▪ Suspicious Activity Investigations ▪ AML/ATF Independent Audits ▪ Money Laundering Reporting Officer Duties Enterprise Risk Services ▪ Enterprise Risk Framework Development ▪ Risk and Control Self Assessments including the development of risk and control registers ▪ Setting risk criteria ▪ Development of risk appetite statement ▪ Event reporting frameworks ▪ Key indicator development ▪ Business Continuity Planning ▪ Risk Manager Duties Training ▪ AML/ATF and Compliance Training ▪ Compliance Induction Training ▪ Sanctions Training ▪ Enterprise Risk Training ▪ Anti-Bribery and Corruption Training ▪ Information Security and Cyber Security Training