Flexible compliance support tailored to your needs

We have a long-term track record in assisting asset managers in achieving regulatory approval and licensing as portfolio managers, managers of collective assets, or financial intermediaries. Thanks to our experience and our tried and tested processes, we are able to offer our assistance in a service package with attractive terms.

As your outsourced compliance or risk management function, we analyze and monitor your risks and carry out periodic compliance checks within your framework of regulations. On top, we are available whenever you need us. Our independence guarantees a segregation of functions and an appropriate organisation for your company.

As needed, we provide you with one of our specialists on an ad interim basis or act as your in-house compliance officer, legal counsel, risk manager, or internal auditor on a longer-term basis. Clients appreciate our long-standing experience and our practical approach.

We often do analyses for companies; identifying gaps in compliance or risk management and following up with solutions that resolve these gaps. We will also assist you on-site in implementing our recommendations if so desired.

As former in-house compliance, risk management, and internal audit professionals at globally active companies, we know what setting up compliance management systems, risk management systems, and internal control systems entail. We know what it takes to make them effective. It would be our pleasure to set up similar systems for your business or support you in optimizing existing ones.

We frequently run integrity checks on clients and other contractual partners (KYC and PEP reviews, etc.) and clarify uncertainties connected to new or existing contractual partners. We summarize our reviews for the client in a report which they can use for audit purposes.

Whether for employees or board members, we tailor our courses to your needs. Here are some of the topics we offer:

• FinSA rules of conduct and FinIA
• Anti-corruption
• Anti-money laundering
• Fighting corruption
• Dealing with conflicts of interest
• Compliance and risk management for the board of directors

Compliance is our core competence, but we are also experts in drafting contracts and resolving various legal questions. Our consulting clients profit from our extensive experience in corporate governance, risk management, and internal investigations.