INDEPENDENT AUDIT SERVICE OF CRIME PREVENTION MODELS

The objective of the audit service is to carry out a technical and impartial assessment of the requirements that a crime prevention model must meet pursuant to the provisions of Law No. 20,393. This service comprises four stages: Diagnosis, Assessment, Final Report and Issuance of Certificate. The process is carried out with the participation of the firm's main partners, i.e. the representatives of IPA COMPLIANCE. This allows them to personally get acquainted with the client, the current control environment and the degree of implementation of the prevention system. In this way, the conclusions and recommendations set out in the reports become a real contribution for the client and the service provided is not merely the signing of the report by the partners or checking boxes.

Pursuant to Law No. 21,595, audits must be performed regularly, so depending on the needs of the client, they may be carried out on a semi-annual or quarterly basis.

SERVICE OF ASSESSMENT OF MONEY LAUNDERING AND FINANCING OF TERRORISM PREVENTION SYSTEMS (PLAFT)

We audit PLAFT systems in order to determine whether they comply with the requirements established in Law No. 19,913 that regulates the matter, the memoranda of the Financial Analysis Unit (UAF) and the best international practices, especially those issued by the Financial Action Task Force (FATF). Some of the main elements that are reviewed are: Existence of a Compliance Officer fulfilling legal requirements, PLAFT Manual, trainings, risk approach, KYC and DDC measures and compliance with ROE and ROS reports. The focus of the service is to assert, not only if the system has a correct design, but also the effective implementation of prevention controls.

PERSONAL DATA PROTECTION ADVISORY SERVICE

We evaluate personal data protection compliance systems, in order to establish if they comply with the standards of Law No. 19,628 and the memoranda of the National Consumer Service (SERNAC) that address the protection of personal data in consumer relations. Likewise, we provide advice for the updating of personal data protection systems in accordance with the new standards introduced by Law No. 21,719, which will be required as of December 1st, 2026.

WE PROVIDE ADVICE ON COMPLIANCE WITH ESG STANDARDS

We audit compliance with ESG (environmental-social-governance) standards, for fulfilment of NCG No. 461 provisions, recently amended by NCG No. 519 of the Financial Market Commission (CMF). The objective of the advice is that the report sent to the regulatory entity clearly sets out the design and implementation actions carried out by the entity on the matter and that it may serve as a differentiating element before of investors and other stakeholders.