Whether you are a private Bank, a corporate FX, Money remitter, Bureau De Change or Payment institution firm – our systems are tailored to meet the individual requirements of your business.

With PLC, you can rest assured that you are dealing with experts from the financial and regulatory sector. Our unique approach will support you in ensuring that your business is compliant and safeguarded.

– Agent and Retail Risk Based File and transaction checking
PLC assist you in checking transactions on a monthly basis to ensure consistency checks in KYC, AML, POCA, CTF, TCF and overall suitability.

– New PSD Agent/AR and Retail Client KYC
PLC conduct SOX testing and random checks on new clients that have been taken on in the past 30 days. This is to ensure that the firms KYC/KYB rules have been followed and ample checks have been done on the new customer.

– Monthly Training & Compliance conference call

Regulated firms must ensure regular compliance training for their staff. To assist our clients achieve this, PLC conduct a half hour conference call for management and all staff to attend, learn and share important information relating to compliance, the firm, the regulators (FCA/HMRC) and general industry knowledge.

We offer a dedicated conferencing service that is accessible via telephone and transcripts can be produced to demonstrate training has taken place*.
Advice and Reporting Structures

We will advise the management of your firm on the best practice and advise on the best way to manage risks, safeguard against potential threats or concerns to your business.

– MLRO Support
Often MLRO/CF11 persons can be puzzled on what is the regulatory requirement they are required to adhere to. PLC offer support to MLRO’s on issues such as SAR reporting and general management of their compliance duties.

– Quarterly Site visit
Subscribed clients are personally visited once a quarter to discuss the position of their business, their compliance, staffing and personnel.