Governance, Risk & Internal Control

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,…)

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