Compliance
Compliance with regulatory and ethical standards has become an essential part of good corporate management.
Speziell für Finanzdienstleister wie Banks, Insurance und Vermögensverwalter werden die gesetzlichen und regulatorischen Anforderungen an die Compliance immer komplexer. Aber auch in anderen Bereichen gewinnen Compliance-Themen laufend an Bedeutung, so beispielsweise in der Rohstoff- und Immobilienbranche.
With our focused approach and our broad experience, we cover all core areas of compliance and support our clients on a strategic, conceptual and operational level.
Unsere Dienstleistungen Umfassen:
- Design of efficient compliance programs
- Assessment of compliance risks and existing compliance processes
- Performance of ongoing compliance activities in an outsourcing arrangement
- Assessment and reprocessing of client files regarding their compliance with regulatory standards such as AML-regulations, information- and disclosure requirements
- Support of the internal compliance function through standardized service packages
- Background checks on transactions and clients involving increased risks (incl. PEP)
- Conducting of tailored compliance audits
- Drafting of internal regulations and guidelines
- Preparation and performance of training sessions
- Implementation of specific regulations, e.g. prevention of money laundering, know-your-client, market conduct rules, regulation of distribution and cross-border business, anti-corruption measures
- Advising on complex regulatory matters
Our goal is to provide you with efficient and easy-to-understand solutions to complex challenges at competitive prices. We look forward to contact!