Service
Compliance audit
Compliance audits focus on reviewing the prevention of money laundering, terrorist financing and the financing of the proliferation of weapons of mass destruction, applicable to entities obliged under articles 15 and 15 bis of Costa Rican Law 7786.
We provide specialized compliance audit services for obliged entities, evaluating the application of legal provisions and the controls established to prevent the risks of money laundering, terrorist financing and the financing of the proliferation of weapons of mass destruction.
Our team carries out an independent review of your organization's procedures, policies and internal controls, identifying weaknesses and opportunities for improvement. We help you strengthen your prevention system, reduce the risk of non-compliance and meet the requirements of supervisory bodies with greater confidence.
When should you call us?
- When compliance with Law No. 7786 and the applicable SUGEF provisions (Regulation 13-19) must be evaluated.
- When you need to identify and correct weaknesses and regulatory non-compliance.
- When you need to verify your policies and procedures to prevent money laundering.
- When you want to be better prepared for requests or inspections by supervisory bodies.
- When your prevention procedures need updating after regulatory changes.
Deliverables
What does the service include?
- 01
Requirements analysis
Validation of the regulatory compliance required.
- 02
Work plan
A schedule of compliance activities that meets the regulatory framework.
- 03
Compliance manual
Review of the entity's manual against the applicable regulations.
- 04
Attestation report
Advice to successfully pass external compliance audits.
Frequently asked questions
Which companies must comply with Law No. 7786?
Individuals and legal entities that carry out the activities listed in articles 15 and 15 bis of the Law must meet the prevention obligations established for their activity.
What does an anti-money laundering compliance audit consist of?
It is an independent review that evaluates whether the company complies with the applicable legal and regulatory provisions and verifies the effectiveness of its policies, procedures and controls to prevent illicit activities.
Is an external compliance audit mandatory?
SUGEF regulation 13-19 provides for external audit requirements for certain obliged entities. Whether and how often it applies depends on the classification of the company and the provisions in force.
What are the benefits of a compliance audit?
It helps you meet the applicable regulatory requirements and identify risks, correct weaknesses and strengthen internal controls.
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Shall we talk about compliance audit?
What do you need? We will send you a written proposal with scope, timelines and a fee estimate.