Compliance Risk Solutions 



Today more than ever, it’s critical to ensure that all processes are compliant with any number of financial regulatory requirements. Your time and resources are valuable and at Omgeo, we understand that. We’re proud of our unyielding dedication to mitigating compliance risk by ensuring that around the globe, we’re in adherence with the most pertinent regulations.
spacerspacer spacer
spacerFind a Product
spacer
Select a product to learn more
spacer
spacer
spacer
spacer
spacerDocumentation

Select a product to view the most recent documentation.



Learn More +
spacer
spacer
spacer
spacerExperience Omgeo

See how our products can support your needs across the trade life cycle

Omgeo_Solution_Finder
spacer
spacer
spacer
spacerQuick Links
spacer
Event Calendar +
spacer
Upcoming Training +
spacer
Understanding Settlement +
spacer
Contact Sales +
spacer
spacerspacer spacer

Spacer

Highlights

Collateral
Omgeo is committed to conducting our business responsibly, legally and ethically, consistent with our values of reliability, integrity and partnership. Read our fact sheet to learn more.
US Version | A4 Version ) 

Spacer SSAE 16 Audit of Control Environment (supersedes SAS 70)
On an annual basis, Omgeo engages an independent third-party auditor to examine and report on the suitability of the design and operating effectiveness of controls for its most widely used solutions. The audit is performed under Attestation Standard SSAE 16 (Statement on Standards for Attestation Engagements No. 16), which was published by the American Institute of Certified Public Accountants (AICPA) and supersedes the SAS 70 standard for performing an examination of controls and processes, effective June 15, 2011. The auditor issues an SSAE 16 Service Organization Control (SOC1) Type 2 report that addresses the controls in various areas, including data accuracy, security, and processing timeliness. The report also contains a description of the SSAE 16 control environment, including systems and processes as well as management’s assertion about this control environment. Please direct SSAE 16 inquiries to your Relationship Manager, Sales Associate or by calling Omgeo’s Client Contact Center at any one of our local numbers.

Global Economic Sanctions Regulations
Omgeo is committed to compliance with applicable economic sanctions regulations that deny economic support to certain individuals, groups and governments.  To this end, Omgeo has implemented formal policies and procedures that constitute a comprehensive Know Your Customer (“KYC”) program.  Every prospective client is subject to KYC due diligence. Omgeo’s Compliance Department uses client information obtained from completed KYC questionnaires, in addition to client information obtained from other sources, to conduct this diligence. Omgeo may request additional information about its customers. Omgeo will not disclose client information to third parties, unless required to do so in order to comply with applicable laws, regulations, or service of process.

Anti-Bribery & Corruption
Omgeo is committed to compliance with the anti-bribery and corruption laws of the countries in which it does business, including the United Kingdom Bribery Act of 2010 and the United States Foreign Corrupt Practices Act. Omgeo and its agents, partners and employees are forbidden from offering or providing any payment or benefit designed to improperly influence an individual, a company or a governmental official to act in a way that gives Omgeo an improper advantage.


For more information, please email Omgeo’s Compliance Department.