Sanctions Delisting and Risk Reduction
Delisting support and sanctions-compliance measures for depositaries and brokers.
View matterClient matter · Sanctions compliance
Sanctions Compliance for International Operations
International operations exposed the company to US and EU sanctions requirements affecting customers, counterparties and goods.
Background
Business environment
- The client's activities were affected by US and EU sanctions regimes.
- Recommendations were needed for individual goods and wider business processes.
- Counterparty screening had not been formalised in a single procedure.
Legal work
AnalysisIdentified restrictions relevant to the client's activities.
GuidancePrepared working memoranda and practical recommendations.
ProceduresDeveloped KYC and due-diligence screening procedures.
TrainingTrained employees to identify and prevent potential violations.
Implementation
The company received a sanctions risk framework, internal guidance, screening procedures and a basis for regular compliance oversight.
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