Regulatory & Compliance

Compliance & Regulatory:

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

  

Legal:

Assistance in applying for a banking, PSF, or UCITS/AIFM license

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,…)

Share