BANKING REGULATION CONSULTING

AML / KYC Notice

Banking Regulation Consulting Effective Date: January 2026

Banking Regulation Consulting ("BRC," "we," "our," or "us") is committed to maintaining the highest standards of integrity, regulatory compliance, and financial crime prevention. This Anti-Money Laundering (AML) and Know Your Customer (KYC) Notice describes the principles that govern our client identification and due diligence practices.

Purpose

Our AML/KYC framework is designed to comply with applicable United States laws and regulations, promote ethical business practices, protect our clients, and reduce the risk of money laundering, terrorist financing, fraud, sanctions violations, and other financial crimes.

Client Identification

• Verify client identity before establishing a business relationship.

• Request government-issued identification and supporting documentation where appropriate.

• Confirm beneficial ownership for legal entities when required.

• Apply a risk-based approach to client onboarding.

Due Diligence

• Assess the nature and purpose of the relationship.

• Understand expected business activities where appropriate.

• Evaluate potential AML and sanctions risks.

• Perform periodic reviews based on client risk.

Enhanced Due Diligence (EDD)

• EDD may be applied for higher-risk clients, politically exposed persons (PEPs), complex ownership structures, high-risk jurisdictions, or other elevated-risk situations.

Sanctions & Watchlist Screening

Screen relevant parties against applicable sanctions and watchlists, including OFAC and other legally applicable lists, where appropriate.

Monitoring & Reporting

• Maintain a risk-based compliance program.

• Review unusual or potentially suspicious activity.

• Comply with applicable legal reporting obligations.

Record Retention

Maintain required records for the period prescribed by applicable law and regulatory requirements.

Client Responsibilities

• Provide accurate and current information.

• Promptly notify us of material changes.

• Cooperate with reasonable compliance requests.

Confidentiality

Information collected for AML/KYC purposes is handled in accordance with our Privacy Policy and applicable legal obligations.

Changes to this Notice

We may update this Notice periodically to reflect changes in law, regulation, or our compliance program.

Contact Us

Banking Regulation Consulting
59 Wall Street
New York, NY 10005
United States

Email: legal@bregulationconsultin.com
Phone: +1 (929) 702-1558
Website: www.bregulationconsultin.com

© 2026 Banking Regulation Consulting. All Rights Reserved.