Regulatory and Legal Compliance

As a consequence of the increase of complexity in organizations, as well as in the regulatory environment, it is particularly important for organizations to manage and control the compliance with internal and external rules to avoid the imposition of penalties and, what is more, to preserve their reputation for bad business conducts or for regulation breaches.

Organizations need to develop a robust regulatory compliance function to, together with good governance practices, control the achievement of business objectives. Conflicts of interest, the risk of collaborating in money laundering, the use of privilege information, new criminal definitions that establish responsibilities for legal entities, personal data protection obligations, Good Corporate Governance, MiFID, Basil, ISO 27001, ISO 31000 and other mandatory standards are specific aspects of organizations’ Compliance functions, which must be covered at internal level with experts’ advice.

Our service offering:

• Analysis and assessment of the Chief Compliance Officer (CCO) function. Elaboration of bylaws. 

• Advice in criminal risk management. 

• Adaptation to the LOPD (Data Protection Organic Law). 

• Adaptation to the LSSICE and LISI, for the promotion of the Information Society and Electronic Commerce.

• Money laundering prevention. 

• Reports on grants.

• Solvency II, Basil III, and different sectoral regulations. 

• Sarbanes-Oxley Act (SOX), JSOX and LSF. 

• Markets in Financial Instruments Directive (MiFID). 

• National Security Scheme (RD 3/2010 of 8 January).

• Regulation on games and gambling - Audit of the Gambling System.