spacer spacer
headingspacerspacer spacerspacerspacer
spacer


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…

spacer
 
  Phone: +352 26 44 16 88 e-mail: contact@icare.lu
design by DUCKZONEDUCKZONE