Forensic Regulatory and Compliance Services | KPMG | BH

Forensic Regulatory and Compliance Services

Forensic Regulatory and Compliance Services

Helping clients navigate complex regulatory and compliance requirements.

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  • Anti-Bribery and Corruption Services
  • Anti-Money Laundering and Trade Sanctions Services
  • Third-party Risk Management
  • Information Governance

Anti-Bribery and Corruption Proactive Services

In today's global business environment, organizations operating in many markets routinely face the risk of bribery and corruption. Demanding laws with extra-territorial reach combined with increased enforcement by many countries, mean that activities that may have had few consequences just a few years ago can now imperil a business and its people.

KPMG Forensic has a full suite of services related to helping organizations prevent, detect, and respond to bribery and corruption concerns. Our extensive credentials in this area range from proactive compliance-oriented assistance to event-driven experience conducting investigations and implementing remediation measures. Proactive measures we can assist with include risk assessments, the design or evaluation of compliance program controls and governance structures, third-party screening and acquisition due diligence, and training programs in a variety of formats.

Anti-Money Laundering and Trade Sanctions

A sweeping regulatory and enforcement landscape has evolved over the last decade, creating unprecedented challenges and risks for all regulated industries, including banks, trust companies, credit unions, securities dealers, life insurance companies, casinos, dealers in precious metals and stones, money service businesses and real estate brokers and developers.

Our Canadian Anti-Money Laundering team is fluent in Canada's relevant laws, regulations, and guidance. Our award winning global Anti-Money Laundering team is available when the laws of other countries are relevant. Our tailored approach is results-oriented and is supported by global experience, methodologies, technologies, and training. We provide practical, risk-based solutions that are tailored to clients' needs, risk profile, business operations, and jurisdictional presence. KPMG provides both proactive and reactive services.

Proactive – KPMG assists clients to further develop and enhance their Anti-Money Laundering and Sanctions compliance programs to help ensure that legal and regulatory requirements are met and exceeded. We have extensive experience providing independent bi-annual Anti-Money Laundering effectiveness reviews mandated by Canadian laws. In addition, we can assist with Anti-Money Laundering and Sanctions training.

Reactive – Following a regulatory review, KPMG can assist with assessing requirement remediation actions and the framework for remediation plans. KPMG has vast hands-on experience assisting organizations with remediating significant breakdowns that may arise, whether self-identified or as a result of regulatory action. This includes performing transaction monitoring investigations and/or historical review, sanctions investigations, know-your-customer file remediation and investigations in response to regulatory inquiry or mandates.

Third-Party Risk Management

It can be difficult to comprehend the sheer size and scope of your third-party network, but those relationships are essential to your business. Failure to adequately assess agents, partners, and clients while understanding their business operations can expose organizations to reputational damage, operational risk, government investigations, monetary penalties, and potential criminal liability. KPMG offers risk management and due diligence services to help clients mitigate counterparty risks.

Third-party risk management - We help clients establish and evolve their third-party governance programs, controls, and resources to assist in identifying and mitigating the risks of fines, penalties, sanctions, civil liability, and reputational damage.

Third-party integrity due diligence - We gather information from a wide range of intelligence sources to provide you with information on your counterparties. We highlight issues of concern that may cause reputational or financial damage to an organization, its directors, and its shareholders. In high-risk or unfamiliar areas, we help our clients identify political or regulatory factors in local markets. Our teams assimilate and analyze publicly available information to provide accurate and reliable corporate intelligence on designated third parties. We have vast experience and knowledge in obtaining information that can enable our clients to understand what, or who, they are dealing with, including:

  • Director, management, and employee screening
  • Mergers and acquisitions integrity due diligence
  • Counterparty due diligence
  • Jurisdictional due diligence
  • Investigations

Information Governance Practice

KPMG's National Information Governance Practice offers a holistic end-to-end approach in helping its clients govern, identify, harvest, control, and protect their most critical information assets throughout their lifecycle. Information Governance is a highly specialized discipline, and our service offerings are tailored to the core activities required to successfully manage information as an organizational asset. The KPMG Forensic Information Governance team offers a full suite of advisory services that include:

  • Records & Information Management - Managing records and information is a critical business function for all organizations and we help our clients reduce the complexity, risk and cost associated with their recordkeeping practices, processes and technologies.
  • eDiscovery Readiness – We work with our clients to design and deliver strategic plans, policies, processes and enabling technologies to support document discovery, legal hold and/or electronic discovery search and collection activities.
  • Compliance Investigation Optimization - An organization's legal departments and investigative units are responding to increased demand to provide strategic guidance supporting operational and executive leadership decision-making. KPMG's multi-solution approach helps its client develop an integrated strategy and vision to position these strategic functional areas to optimize performance, expense management, technical capabilities, information management processes, governance and overall effectiveness.
  • Privacy/CASL Compliance - Our multidisciplinary team of lawyers, technologists, privacy professionals and process analysts will work with you to meet compliance requirements and to help you protect your clients' and employees' personal information in all media formats.
  • Information & Data Governance - Our services can assist your organization establish the formal framework necessary to help ensure your enterprise data quality is accurate and precise. Through the use of proven methodologies, our team will assist in establishing processes, policies and guidelines that will increase your operational efficiency and provide you with the capabilities needed to optimally manage your data.

© 2018 KPMG LLP, a Canada limited liability partnership and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity. All rights reserved.

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