Risk advisory services

Done right, risk management helps you protect your valuable assets: trade secrets, client and employee information, your organization’s good name, intellectual property and more. It should also provide you with a detailed plan and processes for challenging assumptions and preparing for tomorrow’s unforeseen challenges. Lastly, it’s a major factor in empowering your organization to seize the right new opportunities to grow and prosper.

Strict enforcement and fines into the hundreds of millions of dollars have raised the stakes in the battle against suspicious financial and property transactions. The back alley cash in a briefcase has given way to sophisticated business fronts and international wires.

Money laundering, fraud and corruption red flags.

Excessive wires/transactions with higher-risk countries. Insufficient transaction due diligence−no two-signature rule, segregation of duties, etc.
Excessive T&E expenses.
Nonstandard fees and/or commissions, especially outside the United States.
Unnecessary or unusual middlemen.
Contributions to or from people or organizations with suspicious backgrounds/ credentials.
Unusual donations/expenses, especially outside the United States.

Robust
antimoney laundering services

Organizations of all types and sizes can benefit from Francis’s customized approach to AML compliance.

Overseeing development and implementation of a fraud, bribery and AML compliance policy and program
Providing guidance on regulatory requirements, and internal policies and controls.
Periodically providing targeted and mandatory independent assessments on the adequacy and effectiveness of internal controls.
Assisting with the establishment of a board- or executive-level committee for ongoing monitoring for fraud, bribery and money laundering, and in retaining on-call counsel for whistleblower claims or complaints, or regulatory inquiries.
Reviewing sources and uses of funds, credit card charge-backs, disbursements, and more
Assisting court-appointed monitors in reviewing and reporting on compliance.
Monitoring and reporting to regulators under Deferred Prosecution Agreements (DPA).

Some degree of risk is unavoidable. But organizations that fail to take the steps necessary to protect their data face potential state and federal fines and penalties. Damage to their reputations and bottom lines could threaten their very existence.
With the stakes so high, you need an independent, knowledgeable advisor at your side. Francis’s team of experienced Data Privacy & Compliance professionals bring new perspectives. They help your team identify and remediate network vulnerabilities, helping you minimize risks.

Policy development

IT risk assessment and audit.
Regulatory compliance.
Incident response plan.
Governance.

Policy development

Cybersecurity assessments, testing & simulations.
Professional security consulting programs.
Cyber forensics.
Security training.
Managed cybersecurity services.

Policy development

PCI DSS Compliance.
HIPAA/HITECH assessments.
SEC NIST.
GDPR.
NYDFS.
Sarbanes-Oxley and Gramm-Leach-Bliley Act compliance.
Reports and remediation.

Obtain ISO 27001 Certification to demonstrate the conformity of your Information Security Management System (ISMS) requirements and create a framework that illustrates your security posture to current and potential organizations.

Iso 27001 certification process

LLC is a certification body for ISO 27001 Accredited by ANAB: ANSI National Accreditation Board, located in Tampa, Florida, and can provide your organization with the following services:

Scope assessment

As part of the initial engagement, we will perform a comprehensive assessment of the services and systems under review. After obtaining a clear and thorough understanding of our client’s environments, we will customize an audit plan and provide access to an online collaboration tool that includes all required documentations, identification of key personnel from both Francis, LLC and the client and documented target milestones within our project calendar.

Stage 1 audit

As part of the Stage 1 audit, Francis, LLC reviews your company’s documentation to confirm it is in compliance with the requirements of ISO 27001. At the completion of this stage, clients are provided with a detailed report identifying any nonconformities. In addition to the deficiencies/nonconformities report, Francis, LLC will provide you with a roadmap of next steps.

Compliance can be costly and time-consuming – to say nothing of the challenge of keeping up with regulatory changes and industry standards, and hiring, training and retaining employees with the skill sets to perform the work. Of the Act’s many sections, Section 404 –

The benefits of a strong, efficient sox compliance program are many.

Regulatory changes: Our professionals help keep you up-to-date.
Compliance process improvement: We help you establish a sustainable, risk-based process and program, complete with industry-leading practices, tools and templates.
Skilled, experienced resources: You have access to SOX resources for one or all portions of the compliance process.
Increased efficiency and transparency: Francis professionals advise you on using or improving technology to strengthen internal controls, increase transparency and efficiency, and lower costs.

Increased efficiency and transparency: Francis professionals advise you on using or improving technology to strengthen internal controls, increase transparency and efficiency, and lower costs.

Francis soc advantage

Clients appreciate Francis’s customized approach emphasizing efficiency, minimal disruptions to your business, and direct attention. Drawing on the skills of our Firm-wide resources, our experienced team delivers valuable technical knowledge with high-touch customer service and SOC reporting that builds trust at a competitive price.

What’s needed is a strategic approach that revolutionizes how you think about risk.

The new paradigm transforms the technology risk function from its traditional focus on periodic audits and controls reviews to a more strategic view of your goals and objectives and how to turn technology into a true strategic advantage. The results are stronger internal controls; smarter business practices; and increased efficiencies, productivity and revenues.

Others

Risk advisory services

Overview.
ISO 27001 Certification.
Sarbanes-Oxley
Compliance.
Technology risk.

Tax advisory services

Corporate tax.
State & local tax.
Tax credits & incentives.
Tax transaction.

Transaction advisory

Litigation Solutions
T.
Transaction Solutions
Bankruptcy solutions
Other solutions
Privacy Policy

Need help?

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(612) 722-1129