COMPLIANCE

WE KNOW OUR CLIENTS

LEAP compliance defines and implements the highest standard of policies and processes to understand and know our clients. Our processes are implemented to prevent any compliance related risks such as anti money laundering, financing of terrorism, embargo infringement and conflicts of interest. Our rigid processes enables us to manage risks in a prudent way.

LEAP complies with the legal and regulatory requirements to combat money laundering, terrorist financing and other financial crimes in adherence to the Swedish Act on Money Laundering (Lag 2009:62) and Terrorist Financing and the Swedish AML Regulation (FFFS 2009:1).

KYC

To identify and obtain information about customers or their ultimate beneficial owners.

Monitoring

Identifying, documenting and analysing transactions made by clients in order to detect any sums or transactions that may constitute money laundering or terrorist financing activities, including Anti-Bribery and Corruption , Counter Terrorism Financing and Anti-Fraud

Internal Control

Processes for archiving, training and internal control.

Wolfsburg

The Wolfsberg Group has established a template Anti-Money Laundering (AML) Questionnaire that aims to provide a standardized overview of a financial institution's AML policies and practices.

LEAP uses the Wolfsburg questionnaire alongside with our internal policies and procedures in order to provide a basis for conducting client due diligence in a manner consistent with the risk profile presented by our clients. It should be noted that the responsibility for ensuring adequate due diligence, which may include independent verification or follow-up of the answers and documents provided, remains the responsibility of the firm using this questionnaire.

Regulatory Information

LEAP is registered at Finansinspektionen, for more info click here