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2 Intelligence is an investigativeonsulting firm founded by Jeremynd Jules Kroll, the originator ofe modern investigations industry.

dvising governments, companiesnd individuals, we help maximizerowth and mitigate risk across therategic, operational and

eputational landscape.

ver 40 years, Jules and hisams have built a reputation not

nly for investigative excellenceut also for independence, insightnd superior work.

2 conducts due diligence,vestigative, analytic and advisoryssignments all over the world.he firm employs a wide range ofaditional investigativechniques—often amplified by the

pplication of proprietarychnology.

We believe diversity producesetter answers to difficultuestions. We hire experts frome top of many fields, includingw enforcement and intelligenceervices; prosecutors andtorneys in private practice;urnalists, academics andoftware developers.

Albemarle House1 Albemarle StreetLondon W1S 4HA+44 207 016 4250

845 Third AvenueNew York, NY 10002+1 212 694 7000

Calle Pinar, 528006 Madrid, Spain+34 91 745 5818

 jkroll@k2intelligence.com

www.k2intelligence.com

The compliance regime surrounding Anti-Money Laundering (“AML”) and Office of

Foreign Asset Control (“OFAC”) requirements continues to evolve and expand due to

increasing regulatory demands. Each year, AML & OFAC compliance covers more

geographies, industry segments, processes and technologies. K2 Intelligence can help

financial services organizations meet these demands. 

AML Services

Financial institutions continually seek assistance with their AML programs to ensure

they are sufficiently comprehensive and can withstand regulatory scrutiny. K2

Intelligence is positioned to provide a vast array of both proactive and reactive AML

services to the financial services industry, which include:

+  Risk Assessments

+  Historical Transaction Reviews

+  Gap Analysis+  Training

+  Vendor Selection of AML Technologies

+  AML Due Diligence for Mergers and Acquisitions

+  Independent Testing

OFAC Services

K2 Intelligence can assist a financial institution in managing the risks and costs

associated with OFAC compliance. K2 Intelligence can design, document, implement

and audit OFAC compliance programs, including but not limited to:

+  OFAC Risk Assessments+  Training

+  Validation of Transaction Filtering Technology

+  Alert Handling and Quality Assurance Reviews

Innovative Technology

K2 employs advanced, government-grade technologies to ingest, analyze, and visualize

massive data sets to provide our clients an innovative solution that allows us to:

+ Identify and trace complex transaction networks

+ Map relationships for compliance monitoring

+ Analyze communication patterns

+ Mine relationships for business intelligence initiatives

+ Reveal masked connections for deep background analysis

How K2 Can Assist

Through information technology and expertise we help mitigate risks and turn

unfavorable situations to your advantage.  Our people have assisted global financial

institutions develop and implement tools to review transactions, perform look-backs,

assessments, training, risk assessments and investigations and performed AML and

Know Your Customer (“KYC”) compliance reviews for domestic banking and brokerage

entities as well as US branches of foreign financial institutions.

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The K2 Approach Utilizing K2 Analytics

Ingest Data  Transactions are ingested into our proprietary analyticssystem 

Visualize  Identification of a network of activity. Allows us todetermine the main focus and money moving betweenentities 

Focus  Based on the visualization, we can now see who are the“main players” transacting 

Analysis Visual anomalies allow us to quickly identify outlier activitythat calls for further due diligence 

.

REPRESENTATIVE EXPERIENCE

+  K2 professionals have assisted clients in the review of hundreds of millions of

transactions and tens of thousands of investigative cases pursuant to voluntary

or regulator driven historical transaction reviews.

+  Assisted clients in the review of hundreds of millions of transactions pursuant

to voluntary or regulator-driven historical transaction reviews

+  Worked with Client’s Compliance, Audit and Legal groups to perform AML and

OFAC assessments, training, risk assessments and investigations.+  Performed AML and KYC compliance reviews for domestic banking and

brokerage entities and US branches of foreign financial institutions.

+  Performed complex money laundering investigations for major financial

services clients.

+  Conducted long-term investigations into AML and OFAC sanctions violations

related to U.S. correspondent banks.

+  Developed and delivered AML training programs.

+  Assisted in the development of comprehensive AML programs that included

policies, procedures, the control environment and information technology

systems.

AML and OFACCompliance