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	Regulatory Compliance
	As the regulatory environment is becoming more demanding and complex, many organizations are investing significant resources into compliance activities. KPMG can help organizations transform regulatory compliance from just another cost and management distraction into a key value driver. To this effect, our services can include: Anti-money Laundering AML services consist of: Investigations into actual or suspected money laundering incidents AML policies and procedures review and advisory Drafting of AML policies and procedures Assistance with implementation of AML policies and procedures Assistance with remediation projects or “look back” reviews in relation either to existing customers or transactions Provision of staff training on AML matters Assistance in AML software vendor selection Assistance to regulators/governments/trade bodies in enhancing anti-money laundering regulations or guidance Regulatory Investigations KPMG can provide services to firms in regulated sectors and their regulators, and firms subject to competition law and regulation, in particular the investigating or monitoring of issues which may lead to penalties if firms are found to be non-compliant with regulatory or other obligations. Regulatory Investigation services include: Investigations of securities fraud, market manipulation, insider trading or other form of market abuse Investigation of financial or other regulated product mis-selling (i.e. sales of unsuitable product to customers) or other fraud or malpractice within sales distribution networks Investigation of other forms of serious internal and external fraud or malpractice within regulated firms Investigation of allegations of competition abuse, for example financial analysis of excessive or predatory pricing cases Acting as independent monitor or trustee in respect of undertakings given by businesses to competition authorities Reviewing a firm’s compliance with, or advising a firm on, regulations related to market abuse, product suitability, financial crime, competition or other issues relevant to a regulated firm’s integrity/reputation Provision of training on compliance with such regulations Assistance in drafting policies and procedures in relation to such regulations Advising on, or assisting with, remedial work consequent on serious breaches of such regulations Fraud in the Audit and SOX Assist KPMG can advise clients on the regulatory compliance requirements with regard to fraud in the audit and in SOX reporting.
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