Recognition of risks facilitates the management of your company.

Compliance

  • Definition of the compliance policy and implementation of the compliance policy in cooperation with the financial intermediary
  • Adaptation of the internal rules and standards (Code of conduct) to the requirements of the legislators and the supervisory authorities
  • Developing framework of client lists, records of transactions, disclaimers and country manuals
  • Implementation of a compliance reporting and a compliance management system
  • If required by the financial intermediary, taking over the function of an external compliance officer