Operations
Ongoing monitoring, not one-time checks
Why compliance is a continuous duty and how periodic review keeps a family office defensible.
The FLIORE Compliance Desk
Family-office compliance research
5 min read
Updated 2026-07-01
Key takeaways
- Ownership, sanctions and risk change after onboarding.
- Periodic review cadence should reflect risk.
- Reopen the file on material change — new owners, designations, adverse media.
Why once is never enough
A file that was clean at onboarding can decay: a new shareholder appears, a person is sanctioned, adverse media surfaces. Compliance is a continuous obligation, not a gate you pass once.
Cadence by risk
Higher-risk mandates warrant more frequent review. A defensible programme sets a cadence, screens continuously, and reopens the file whenever something material changes.
FAQ
How often should I review?
By risk — higher risk, more often; but material changes trigger review regardless.
Sources
- FATF Recommendation 10 — Ongoing due diligence.
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