Regulatory compliance specialists
We provide practical opinion across a range of global regulatory frameworks, including QI, FATCA, and CRS/AEoI
We offer a range of in depth training courses, from executive briefings to hands on training for back office staff
QI Support Services
We provide customised support services for QIs, and support for NQIs wishing to enter into the QI programme
Everything you need to comply with your regulatory obligations
QI Interim Compliance Reviews
We can conduct interim compliance reviews – also known as health checks – to help you assess your current level of compliance and identify areas for improvement.
Approaching your certification date? We can conduct your formal Periodic Review, allowing you to make your certification of effective controls to the IRS.
Compliance Manual Support
We can help you to write a compliance manual that communicates your policies and procedures clearly to staff and accurately reflects your control systems.
We can manually validate W8 forms for you, or provide an expert eye to assist with any one-off difficult cases.
Our TIN matching service allows you to be confident that the W9 forms you accept have a valid social security number according to the official IRS database.
In the last eighteen months we’ve conducted compliance reviews in five countries on twelve Tier 2 and Tier 3 financial institutions. In this post, we unpick the strategies we have seen firms use to approach their QI and FATCA obligations, and highlight the problems we have observed when firms fail to take a holistic approach to compliance.
A Practical Guide to Global Anti-Tax Evasion Frameworks
by Ross McGill, Chris Haye and Stuart Lipo