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Regulatory Audits as a Service (RAaaS)
£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
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Booster packs and external audit services may be subject to additional Terms and Conditions
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
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