3 Lines of Defence Group Overview

GROUP

3 Lines of Defence Group Overview

GROUP

The 3 lines of Defence Group brings together the benefits and synergies of an award winning consultancy firm and an independent firm delivering security focused software. The Group started over 6 years ago, having grown and been shaped by client demand. Its reputation is built on a combination of the quality of the Teams and the ability to service client requirements in an effective manner.

I N T E G R AT E D T E C H N O L O G Y • S O L UT I O N S

3 Lines of Defence Consulting (“3LDC”) provides advisory and support services for clients across the financial services sector and to the connected professional service firms.

3LDC works in partnership with firms from Tier 1 down to start ups. Specialist sectors include investment banking, broking, banks and alternative asset management. The expertise is focussed on delivering and enhancing sound governance, regulation, risk and info security.

Our Teams are led by a combination of C-Suite practioners being former global heads of control functions, front office and other senior managers.

We understand the needs from the client’s perspective – “we have been there.”

We understand your objectives and issues, from all sides.

4 Lines of Defence (4LOD) compliments 3LDC. Its primary purpose is to deliver solutions addressing the needs of firms by providing a range of industry leading software products combined under our C-HUB & Information Security Suites.

4LOD provides clients with the software tools to empower business, maintain security and provide assurance.

4LOD clients are drawn from across the financial service, professional service and corporate sectors. 4LOD clients can access software tools that enhance both security and efficiency.

3 Lines of Defence Consulting Who we are 3 Lines of Defence Consulting (“3LDC”), is an award-winning consultancy firm focussed on providing innovative and incisive advisory services that encompass governance, regulation, risk and information security.

Team consists of:  CEOs  COOs  CCOs  CROs  Board Directors  NEDS

Working with clients in:  UK  Europe  USA  Asia

Our senior team is built as a partnership of prominent experienced C-Suite individuals who have worked in senior roles throughout the financial sector and in corporate firms. We provide our clients with teams of practioners, who have sat previously on the other side of the table, run the business, implemented policies, operated systems and dealt with major issues. This is a balanced mix of team members from control, operational and front office backgrounds. The holistic approach is further supplemented by ex-CEO’s, Board Directors and NEDs.

We realise every client is different. 3LDC provides a tailored advisory service, taking a strategic approach to support clients.

What we do 3LDC operates across the financial services arena, advising through our business lines. Clients draw upon our deep and broad expertise to provide the expertise required to satisfy their requirements effectively.

We have set out some key areas in our snapshot below.

Investment Banks

Law Firms

• Authorisation / VoP

• Financial Crime Prevention / AML • Information Security / Cyber / GDPR • Risk • Training • Investigations /Reviews

Monitors stice Dept Appoin u J ted US

• Conduct

• Market Knowledge • Subject Matter Expertise • Legal Expert Witness • Investigations / Reviews • Information Security / Cyber / GDPR • Due Dilligence

• Operational Due Diligence • ESG

Banks Sp all - midecialising in sm s sized operation

Regulated Firms

Corporates

Professional Service Firms & Corporates

tors / Liquida inistra tors Adm

• Control Frameworks Brokers All asset classes

Asset Managers lising in Alternati ia c e Sp funds & private e ves quit e y edg -h

• Governance

4 Lines of Defence Who we are 4 Lines of Defence or 4LOD for short, is an independent software solutions firm located in London, with an international client base. Its primary purpose is to deliver solutions addressing the compliance, risk and regulatory needs of firms, by providing a range of industry leading software products combined under the C-HUB & Information Security Suites. These are all designed to provide efficient and effective solutions, to meet our client’s needs. The product range focusses on meeting requirements in relation to regulatory compliance, data encryption, cyber security and the control of risk.

I N T E G R AT E D T E C H N O L O G Y • S O L UT I O N S

The main Business Outcomes that engaging with 4LOD deliver are:  Enhancing Regulatory Compliance;  Data Security & Encryption;  Cyber Security;  Operational Efficiencies; and  Cost Controls We are now seeing the start of the unstoppable “New Normal”, with an increasing long term move towards a Distributed Working model (more home working). Initially triggered by Covid-19, the changing requirements and the maintenance of a secure framework that really works is becoming increasingly challenging to address.

There is a need to be able to work efficiently, effectively and securely from these remote locations. Furthermore, these need to be cost effective solutions.

Let us help you achieve this.

What we do The purpose is to provide clients with the tools to empower their business, enhancing effectiveness and security.

The suites of solutions are a combination of industry leading 3rd party software systems and of 4LOD platforms / tools developed in partnership, tailored to the needs of our clients.

Now, Kofax Power PDF offers a genuine solution that protects sensitive data while making it easier to get on with the day job. The benefits of Power PDF include improving the way that businesses onboard new clients, making it easier for staff to produce essential reports for funds and investments, and allowing teams to work from anywhere without losing productivity.

The 4LOD suite of solutions include:

GalaxKey

Power PDF

National Cyber Security Centre certified (part of GCHQ) encryption securing emails, document handling tools and workspaces via Galaxkey.

Powerful document processing and security with Power PDF. Kofax Power PDF software is designed to let clients create, convert, edit, share and eSign PDF files with ease. Previously the only solutions to create, edit, and manage PDF for financial services relied on older programs such as Adobe Acrobat, or newer, untested solutions.

Galaxkey software blends a perfect balance between the highest level of security and usability. The platform provides data protection in store as well as in transit, and features have been built keeping complete data protection in mind.

Once secured using Galaxkey the data access is controlled, being available only to the correct recipients.

C-HUB Suite Developed and continually enhanced by 4LOD to meet client needs, with our software partners.  C-HUB Control Centre: Full work programme, tracking, workflow and project management tooling for compliance teams, auditors, GDPR and more;  C-HUB Market Abuse Risk: Enabling firms to model, assessing their risk and meet regulatory requirements; management tooling for compliance teams, auditors, GDPR and more;  C-HUB AML: Full AML KYC checking and management system;  C-HUB AiRE: IT network endpoint automated incident & response engine.

Sales Contact Contact our 4LOD Sales team to learn more about how we can help you achieve your requirements in a cost effective manner.

Thought Leadership The 3 Lines of Defence Group believes in being actively involved in the financial sector,contributing to its development.

As such, 3LDC team members participate in and/or chair trade body committees, publishing White Papers and issuing other thought leadership pieces.

3LDC has been steadily building its reputation as a trusted partner to its clients and setting standards. Over the last few years we have won three prestigious industry awards.

In addition, we are a Cyber Essential Plus accredited organisation, listed under the UK government’s National Cyber Security Centre register.

GROUP

RegTech Insights Award Winner

Compliance Register Platinum Award Winner 2018 & 2019

British Private Equity & Venture Capital Association

Institute of Business Ethics

Cyber Essential Plus accredited organisation, listed under the UK government’s National Cyber Security Centre Register

Association of Professional Compliance Consultants

Centre for Study of Financial Innovation

GROUP

Helping you navigate business risk Trusted partner to your sector Governance

Operational Due Diligence

Regulation

Financial Crime Prevention

Risk

Expert Witnesses

Control

Information Security

Culture

GDPR

nvironmental Social E and Governance

I ntegrated Software & Hardware Solutions

I N T E G R AT E D T E C H N O L O G Y • S O L UT I O N S

Contact us 67 Grosvenor Street, Mayfair, London, W1K 3JN, UK

Enabling Growth

Protecting Your Firm

Securing Your Investments

 +44 (0)20 7129 1270  info@3ldc.com  info@4LOD.co.uk