SMC International Group Ltd  --- Part of the Solution
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  • Regulatory Compliance Services - Anti-Money Laundering
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Capabilities...

Our dedicated staff of professionals has many years of experience in helping broker/dealers and other financial firms in meeting the ever-evolving and highly complex requirements formulated by the SEC, FINRA and other regulatory bodies.
Specifically our practice helps clients navigate the requirements of:

·         FINRA AML Rule 3310

·         USA PATRIOT Act

·         U.S. Treasury Department Rules

·         MSRB Final Rule G-41

Our clients cover the full landscape of financial services including:

  • Retail Banks
  • Commercial/Wholesale/Merchant Banks
  • Investment Banks
  • Hedge Funds
  • Private Banking/Global Wealth Management
  • Insurance Firms
  • Broker Dealers
  • Clearing Houses
  • Asset Management
  • Prime Brokerage
  • Money Service Business

 Projects...

At SMCI - Regulatory Compliance, our goal is to assist our clients in meeting their regulatory and risk management needs and obligations.
We offer services to our clients that encompass:

  • Review of existing Bank Secrecy and USA PATRIOT Act  processes and landscapes
.
  • Review of existing Anti-Money Laundering requirements
.
  • Review of existing SEC,  NASDAQ, FINRA and other regulatory body processes and landscapes
.
  • Review of existing BASEL economic capital and risk profiling processes and landscapes
.
  • Development of Compliance Technology strategies and architectures
.
  • Development of Project Roadmaps, as well as,  Solution Implementations and Management
.
  • Detailed Requirements Analysis, Design, Implementation and Support of Transactional Monitoring, Investigation and Resolution Systems, Reporting Frameworks and Reporting Solutions.

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