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Today more than ever, it’s critical to ensure that all processes are compliant with any number of 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.
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Highlights Webinars View a live Q&A with Omgeo’s Chief Compliance Officer, Kara Hill, regarding Omgeo’s commitment to Risk Management and Compliance and how that commitment benefits our client community. Compliance & Risk Management - The Omgeo Experience + 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 ) |
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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. For more information about Omgeo's SSAE 16 program, please contact compliance@omgeo.com. Global Economic Sanctions RegulationsOmgeo 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 & CorruptionOmgeo 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. |
