Governance, Risk & Internal Control
Services
Governance, Risk & Internal Control
Consultancy services for Banks, PFS, UCITS Management Companies and AIFM
Governance, Risk & Internal Control:
Consultancy services for Banks, PFS, UCITS Management Companies and AIFM
Compliance function services:
- Drafting of your pluriannual Compliance Monitoring Plan
- Drafting of your periodic and annual reports to the attention of your ExCo and BoD
- Drafting/update of your policies and procedures
- Cooperation with the authorities
- On-going regulatory watch services
- Awareness and training programs
AML/CTF services:
- Preparation of client acceptance/due diligence reports
- Global AML/CTF risk assessment of your entity
- Forensic investigation
- Annual training of your employees
Due Diligence services:
- Customer Due Diligence: Implementation of simplified due diligence measures (SDD) and enhanced due diligence measures (EDD) according to the identified risk level (concept of the Risk-Based Approach- RBA)
- Initial and ongoing due diligence reports on your delegated activities
- Ongoing monitoring: detect complex and unusual transactions/operations and detect persons/entities subject to financial restrictive measures
- Preparation of packages or reports to the attention of service providers
Outsourcing services:
- Director, Conducting Officer or Compliance Officer Mandates
- Interim resources
MiFID services:
- Analysis with respect to the client classification
- Analysis of the Suitability and Appropriateness
- Drafting of policies and procedures
- Analysis of your operating model and distribution flows
Remediation actions plans:
- Preparation, assessment and implementation of remedial actions plans relating to AML/CTF, Internal Governance, Internal Control Functions…
- Preparation for on-site inspection by the CSSF
Market Abuse:
- Assistance in applying measures to limit the risks
- Training of your employees
- Assistance in the implementation of the procedures (Detection program) and Suspicious Transaction Reporting (STR)
- Drafting your Rules of Conduct
Confidentiality and data protection (GDPR)
FATCA & CRS advisory services
Fund structuring:
- Advice on set-up for funds domiciled in Luxembourg
- Drafting/review of prospectuses and material contracts with service providers
Distribution:
- Drafting/review of distribution/investment management agreements
- Host country registration
Assistance for implementation of new regulations (MiFID II, UCITS V, EMIR, CRS, PRIIPS,…)
Ministerial authorization n°10016343