Compliance is a fundamental component of managing company’s risk and successfully executing business strategies.
Polo’s compliance outsourcing services enable clients to meet strict regulatory compliance requirements.
We can work as an extension of your in-house compliance department or as an independent compliance provider helping you meticulously monitor your controls.
Our team provides performing all-in-all, day-to-day monitoring and tracking compliance needs.
Polo’s extensive experience, deepest knowledge, and full understanding of the compliance allow us to multi-task and provide comprehensive support to our clients within different fields.

Polo’s compliance outsourcing services are divided into the following categories:

1. Constant Tracking & Monitoring Activities
Compliance roles consume significant time and effort performing different compliance monitoring tasks as part of their general risk-mitigation initiatives.
Yet, due to restricted capacity, they are unable to effectively monitor and track mistrustful activities as large volumes of docs (chats, forums, e-mails, etc.) have to be checked.
By handling these voluminous monitoring and tracking activities, Polo helps their clients meticulously examine all suspicious docs, info, activities.
This comprehensive analysis helps Polo’s clients reveal hidden risks and reduce risk financial losses.
Polo provides the following services:
  • Employees’ Personal Trading Monitoring
  • E-communications Monitoring (E-mails, Chats, etc.)
  • Post-trade Compliance Monitoring
  • Transaction Monitoring
  • Transaction Analytics
  • Investment Compliance Monitoring
  • AML Monitoring

2. Processing Compliance
Polo’s clients deal with continuously evolving regulations.
Our compliance professionals work with clients through all these processes and provide them additional recourses for better management of regulatory environment.
Polo backs up their clients within different processes including but not limited to:
  • OFAC Sanctions List Check
  • OFAC Specially Designated Nationals and Blocked Persons List (SDN) Check
  • Sanctions Programs / Database Check
  • EU sanctions list Check
  • UN sanctions list Check
  • KYC check
  • KYC Remediation
  • Material Review
  • FATCA Compliance
  • USA PATRIOT Act Compliance

3. Reporting, Recording, Filing, Registration
These type of services could involve numerous stages such as gathering the obligatory data, interacting and following up with many groups for relevant data, doing data analytics and making reports.
These services include but not limited to:
  • Different types of Registration
  • Regulatory Filing
  • Internal Reporting
  • Regulatory Reporting

4. AML/CTF Services
Polo understand the necessity for the business to contain the budgets of compliance whilst meeting the rising challenges of regulatory & reporting compliance.
We at Polo endeavor to keep our services concentrated on the client’s needs without compromising the quality and professionalism.
We provide the following AML / CTF Services:
  • Customer Due Diligence(CDD)
  • Customer Risk Rating(CRR)
  • Transaction monitoring activity
  • Politically exposed Person Check (PEP)
  • Sanctions and Credit Check
  • Name Screening
  • Enhanced Due Diligence (EDD)

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