Case Studies: Banking & Financial Services
KYC Process Review
Ashlynwood was engaged to review a bank's KYC process as the MLRO had concerns over identification of High Risk clients during the KYC onboarding process. Our review checked against the minimum required criteria of CDD, EDD, SDD, PEPs as well as in-life KYC management.
FCA remediation review
Following on from previous investigation conducted by the FCA, the CFO of the Bank requested Ashlynwood to review the concerns raised by the FCA and identify any additional control weaknesses in the Bank’s processes.
Internal whistle-blowing case
Due to whistle-blowing concerns raised, Ashlynwood was engaged to assist in conducting a review of the Bank’s Mortgage product offering to identify any regulatory breaches.
New payment monitoring system
The Bank engaged Ashlynwood to undertake a review of a newly implemented SWIFT Transaction Monitoring Sanctions screening process.
Outsourced payment processing review
Ashlynwood was engaged to review the Bank’s project to roll-out a new payment card product having partnered with an outsourced payment service provider.
Information Technology Breaches
Ashlynwood was engaged to review the Bank’s IT Change Management (ITCM) processes for its legacy and new IT systems.
Imaginative, Smart & Agile
We are a member of the Institute of Chartered Accountants in England and Wales (ICAEW) that can undertake Accounting and Tax work, as well as provide Assurance Services and Operational Support through co-source and outsourcing arrangements.
Case Studies: Not-for-Profit Sector
New accounting system
New charity set-up
Ashish Patani is a thoroughly professional Financial Services Specialist with an immense work ethic and outstanding approach to complex issues and challenges. I have known Ashish for over 10 years both as a trusted advisor & colleague. I highly recommend him for his specialist skills in Securities Services, Fund Accounting and Audit issues.
I enjoyed working with Ashish on various Financial Service Audit reviews. I found him very professional, efficient and focused in his approach to work.
Ashlynwood undertook a review of our Organisation’s Governance and Structure. We found them very friendly and open, knowledgeable, insightful and professional. They offered us important insights into things that could be improved and the steps forward to do so. I view them as valued colleagues and would not hesitate to recommend them.
Case Studies: SMEs and Private Clients