Compliance

Compliance with regulatory and ethical standards has become an essential part of good corporate management. 

The standards to be complied with by financial intermediaries like banks, insurance companies and asset managers have become particularly complex. Likewise, compliance-related topics are gaining relevance in other industries such as the commodities- and real estate business.

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.

OUR SERVICES INCLUDE:

  • 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

It is our goal to provide efficient and comprehensible solutions to complex issues at competitive pricing. We are looking forward to you contacting us!