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…
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