RISK & AUDIT
An efficient RISK MANAGEMENT protects and creates company values. This not only holds true for financial intermediaries like banks, insurance companies and asset managers, but also for industrial- and commercial enterprises.
For sustainable success, companies have to adequately identify, limit and monitor all risks associated with their business activities. With our focused approach and our broad experience, we support you in the following areas:
- Development, implementation and/or enhancement of an integrated risk management framework
- Assessment of existing structures, processes and methods
- Implementation of instruments to identify, measure and mitigate risks
- Definition of a risk strategy and governance for operational- and reputational risks
- Support in the establishment and development of an internal audit department for financial services firms
- Assessment of the existing internal audit function (i.e. external quality review, benchmarking)
- Bank-specific support of the existing internal audit department in special areas such as cross-border regulation, regulation of asset management and investment advisory business, anti-money-laundering rules
- Performance of special audits and provision of experts on a temporary basis
- Assessment of existing compliance organization Assessment of risk identification and –evaluation
- Assessment of measures taken by the compliance function to adapt to regulatory changes
- Compliance tests regarding regulatory standards
The statutory audit (pursuant to the Swiss code of obligations) and the regulatory audit (pursuant to the Swiss banking act, the Swiss stock exchange and securities trading act and the Swiss collective investment schemes act) as well as SRO audits (compliance with anti-money-laundering regulations and rules of conduct) are being covered through our selective network of business partners.
