ETHICS & COMPLIANCE

COMPLIANCE ASSISTANCE & ADVISORY SERVICES

• Support of Compliance Officers in designing compliance functions and objectives
• Definition and drafting of procedures manuals (96/126)
• Project Management
• Diagnostic & Gap Analysis with respect to CSSF regulation & existing Market Best Practices
• Compliance Monitoring & Testing programs
• Remuneration Policies (10/437)
• Compliance trainings (AML/CFT, Fraud, CSSF regulation, …)
• PSF & PSA Application file computation and/or assistance in preliminary contacts with Regulators
• Anti-Money Laundering
• Counter-financing of Terrorism measures
• UK Bribery Act implications
• Market Abuse Directive
• MIFID, AIFM, UCITS lV, EMIR implications
• Conflicts of Interests risk management
• Fraud Risk Management framework
• Data Protection considerations
• Implementation of Compliance Monitoring & Testing programs
• Diagnostic and "Gap Analysis" on C.S.S.F. regulation and on existing market best practices

IMPLEMENTATION & UPDATE OF CORPORATE COMPLIANCE FRAMEWORKS

• Assistance in the implementation and the update of a corporate compliance framework for PSFs & PSA's
• Compliance with C.S.S.F. Circulars
• Gap Analysis with those requirements
• Drafting of PSF and PSA's application files so as to obtain the CSSF corresponding licenses

ADVISORY SERVICES & REGULATORY WATCH ASSISTANCE

• Compliance Process reengineering and optimization of both functional and operational processes
• Delivering operational or expert compliance assignments such as: MiFid, Market Abuse, Data protection, Conflicts of interest, Whistleblowing, AML/KYC, group-wide regulatory watch systems, Ethical Conduct, Special Tax Mechanisms, Cross border business…
• Fostering change management approach with appropriate sponsorship, communication and delivery (training and support), to encourage individual’s adoption and satisfaction

COMPLIANCE PROJECT MANAGEMENT

• Establishing appropriate project management oriented-organization to implement and to integrate AML/CFT, audit and risk resources (Anti-Money Laundering filtering & profiling applications, Compliance Office tools, Regulatory watch solutions …)
• Monitoring project life-cycle, delivery of every project phases and coordinating with system integration contractors (business cases, migration, data conversion, testing, roll-out, closeout phase,…)
• Ensuring change management: User training, deployment, knowledge transfer, for those AML/CFT tools…