Association of Professional Compliance Consultants

Member login

.

04 Nov Cascade Lab

Posted at 15:22h in Uncategorised by

Cascade is a Compliance, Administration and Governance Software solution.

Easily adaptable, “no coding required”, it is used by compliance consultants to help implement the compliance policies they create for their clients. Turning that 100/200 page PDF of their compliance manual into a working solution.

This helps the client get all members of staff up to speed on documents required, questionnaires required etc. dependent upon the role the counterparty plays to the client. This cuts down on interpretation issues and also ensures that you never ask for the same document twice.

It was developed to help SMEs to manage the ever-growing compliance overhead by creating a central repository for all elements of a Risk based approach to compliance.

This includes:

  • Onboarding new clients & organizing client acceptance Committees
  • Digitalising the client list: registry of companies and funds, individual shareholders and counterparties with pre-set reports for regulators
  • Perform a full AML/KYC framework:
    • permitting the collection of ID documents, identification of BOs, AML questionnaire and risk allocation
    • alerting of any changes to the status of clients
    • including daily name-screening against PEP, sanction and adverse media lists
  • Corporate Secretary – generating convocations and minutes of AGMs board meetings
  • Basic Transfer Agent function for closed ended funds
  • Full Project and Task management functionality including deadline monitoring

 

Firms Served

  • Compliance Consultants
  • Independent Directors
  • Fund Managers
  • Fund Administrators
  • Law Firms
  • Fiduciaries
  • Private Equity
  • Payments Businesses
  • AIFMs
  • Investment Funds
  • Venture Capital
  • Real Estate Groups
  • Crypto Exchanges

And more.

 

Address
Cascade Labs SA
2 Place de Strasbourg,
2562 Luxembourg, Luxembourg.


T: 07918725558
E: marcus@cascade.lu
W: https://cascade.lu/
Services Offered
  • IT Platform/Providers
  • IT Software - Compliance, AML, PEPs, Sanctions, CTF, Adverse media
  • IT Software relating to SMCR
  • IT solutions – regulatory, compliance, and risk management
Firms Served
  • APCC Member Firms
  • Asset Managers
  • Banks and deposit takers
  • Brokers-Dealers
  • Crowdfunding platforms
  • Cryptoexchanges
  • Financial Service Firms
  • Forex
  • Fund Managers and Funds AIFs
  • Regulatory Accountants
  • Regulatory Lawyers
  • Retail firms
Search
Working Groups