Adequate internal organization
Adequate internal organization
Adequate internal organization
- Oversight and control framework
- Regulatory gap analysis
- Analysis and review of KYC documents and client acceptance process
- Review of AML/CTF control framework, Policy and procedures
- Updating or drafting policies and procedures
- Governance
- MIFID
- Training
Risk based approach
Adequate internal organization
Adequate internal organization
- Risk assessment and Compliance monitoring plan program creation, tailored to your specific business
- Risk appetite
- Due diligence and scoring
Outsourcing Compliance function
Administrative support for agreement applications to the CSSF
Administrative support for agreement applications to the CSSF
- We can be your outsourced compliance partner CCO
- RR and RC services and support
- Independent director
Administrative support for agreement applications to the CSSF
Administrative support for agreement applications to the CSSF
Administrative support for agreement applications to the CSSF
- Ongoing liaison and communication with the CSSF until the licence or agreement is accorded.