Compliance as a Service

Compliance as a Service is a full-service offer from S+P Compliance Services. You can easily and flexibly book the following services with S+P:

# KYC Onboarding

# Determination of PEP status and SIP status for B2B and B2C customers,

# Monitoring of sanctions and embargoes

# Ongoing transaction monitoring with case analysis

# Adverse media checks

# CDD checks and EDD checks with audit trail

# Regulatory monitoring for more legal certainty

More security with S+P Compliance as a Service

For risk management, a fundamental distinction must be made between the two components monitoring and screening system. S+P Compliance is the ongoing ex-post monitoring to detect unusual transactions. This is done after their execution to detect unusual individual transactions or transaction flows (for example, pattern recognition via the sequence of transactions).

S+P Compliance Monitoring offers you the following advantages:

• National and worldwide KYC analyses
• Worldwide monitoring for early detection of suspicious transactions
• Suspicious Transaction Reporting

The following modules are available to you for secure compliance risk management:

• International and domestic-level sanctions list coverage
• Coverage on companies not sanctioned, but nevertheless owned or controlled by OFAC and/or EU sanctioned parties.
• All Adverse Media Entities Categories
• Environment/Production
• Corruption

S+P Compliance as a Service deckt folgende Sanktionslisten ab:

International and domestic-level sanctions list coverage, including:

• North America: OFAC (US), OSFI/DFATD (Canada)
• Europe: EU, HM Treasury (UK), SECO (Switzerland)
• Asia: MAS (Singapore), JMOF (Japan), DFAT (Australia), HKMA (Hong Kong)
• International: UN

Coverage on companies not sanctioned, but nevertheless owned or controlled by OFAC and/or EU sanctioned parties.

Vessels, Aircrafts, regions, sub-regions, cities, seaports, airports and free trade zones in sanctioned countries and regions.

All Adverse Media

• Anti-Competitive Issues
• Association Risk
• Financial Difficulty
• Information Rights/Copyright/Patent Issues
• Management Issues
• Ownership Issues
• Environment/Production
• Environmental Issues
• Product/Service Issues
• Production/Supply Chain Issues

Regulatory

• Corruption Issues
• Fraud Issues
• Regulatory Issues
• Sanctions

Social/Labour

• Discrimination/Workforce Rights Issues
• Human Rights Issues
• Workforce Disputes
• Workplace Health/Safety Issues