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Compliance

We analyse the impact of legal and regulatory amendments on the business activities of financial intermediaries, document the need for adjustments and support companies in adjusting their business models.

In the context of the fulfilment of legal provisions, we advise national and multinational companies on the implementation of Swiss law and the provisions of the European Union (e.g. FINMA Circular, EU directives).

Our core competencies:

  • Analysing (impact/gap analyses) the effects of legal and regulatory developments on the business model of a financial intermediary.
  • Setting up a corporate governance structure and a compliance unit in accordance with generally accepted standards.
  • Providing management with advice and information on new developments in the compliance requirements for financial intermediaries.
  • Providing training and further education to compliance managers and reviewing existing compliance functions.

 

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