top of page
£25
from pp. pm
(min 3 seats)
Agents & Distributors in readiness assessment or MLRO/CFO/CEO testing RAaaS for the first time.
Audit setup and kick-off call (Ko1).
Audit Report includes:
- (R01) FCA 12 Principles
- (R02) Senior Mgr/MLRO report
- (R03) Insurance Coverage
Scope:
- (S01) Policies & Business Context
- (S02) Insurance risk cover
- (S03) People, training & culture
Audit modes:
(A01) MLRO & Senior Mgr self assessment
(A02) Business wide self assessment
3-6 survey seats and up to 3 surveys and reports per p.a.
Up to 2 surveys and reports per p.a.
(V1) Video consultation and report review with Green Swan audit advisor
£30
from pp pm
(min 10 seats)
Small Agents & Distributors with limited responsibilities from their EMI principle
Everything in Essential plus
Audit Report includes:
- (R03) Consumer Duty maturity report
- (R04) Wind-down maturity report
Scope:
- (S04) Consumer duty
- (S05) Sales & marketing communications
- (S06) Wind-down & Dormant funds
Audit modes:
(A03) Internal compliance function
10-30 survey seats, with up to 2 surveys p.a.
(v2) 1x additional video consultations with Green Swan audit advisor
Booster packs available for internal/external audit services
£39
from pp pm
(min 15 seats)
Agents & Distributors
Everything in Advanced plus
Audit Report includes:
- (R05) AML & CTF maturity report
Scope:
- (S07) AML, CTF, Sanctions, Fraud
- (S08) Policies & procedures
- (S09) Risk management
- (S010) Onboarding & Offboarding
(v3) Green Swan nominated audit advisor
1x addl video consultations
Audit modes:
(A04) Internal finance function
15-50 survey seats, with up to 2 surveys p.a.
- (DR1) Compliance/policy data room available as booster pack service
£45
from pp pm
E Money Institutions
£49
from pp pm
(min 35 seats)
Everything in Professional plus
Audit Report includes:
- (R06) Client Money Management Maturity
- (R07) IT & Cyber Security Overview
- (R08) Environment, Social & Governance
Scope:
- (S011) Client Money management
- (S012) Supplier management
- (S013) Outsource risk management
- (S014) Environment, Social & Governance
Audit modes:
(A05) External compliance audit partner mode
(A06) External finance audit partner mode
(DR1) Finance data room
External audit partner data room
35-80 survey seats, with up to 3 audit surveys p.a.
Optional booster packs available for ISO 27001, 9001 and 14001 gap-assessments
Please Call Sales
For EMI principles managing Agents and Distributors
Audit Mode (7) Full Behavioural Science organsational assessment
- (S020) Vulnerable Customers (advanced)
- (S021) Digital Operational Resilience Act (DORA)
- (S022) Customer Comms (advanced)
- (S023) Fraud and APP fines (advanced)
- (S024) Directors Indemnity, PSD2, Cyber Insurance
- (S025) COP & APP refunds (advanced)
- (S026) KYC EDD (advanced)
- (S027) KYB EDD (advanced)
- (S028) International Sanctions
- (S029) Police & FOS Complaints handing
- (S030) SAR and NCA reporting (advanced)
- (S031) IT Security, Cyber (ISO27001/ NIST alignment)
- (S032) Business Continuity Plan (advanced)
- (S033) Risk Scenario stress testing
- (S034) Project & Programme management
- (S035) Product and IT development and release control
- (S036) Internal IT management and controls
Please Call Sales
+
For EMI on RTGS and preparing for 166 audits or conducting remediation plans
Audit Mode (8) AI Assisted remediation plan and tracking
- (S040) Key staff risks & handovers
- (S041) Segregation of roles
- (S042) Finance & Treasury function integrity
- (S042) Internal fraud management
- (S043) CIFAS & JMLIT use
- (S044) Governance Maturity & Board ops
- (S045) Regulator Communications
- (S046) Internal audit function & scope
- (S047) External financial audit & controls
- (S048) External compliance audit & controls
- (S049) Brand protection and risk management
- (S050) Senior Managers Regime effectiveness
- (S051) RTGS (UKFP/Bacs/CHAPS) mgnt.
- (S052) New Payments Architecture planning.
- (S053) Compliance remediation management
- (S055) 166 audit preparations and management
bottom of page