Compilance | B2B FX Services

World Class Compliance & Corporate Services

COMPLIANCE

Day to day compliance support
MiFID II, MiFIR, EMIR, Investment Funds Law, Payment Services Law etc.
Drafting, updating and/or redrafting policies, procedures and manuals
Advice on compliance manner regarding your communication with the relevant regulator to achieve compliance and build a trustworthy relationship
Training to personnel of your Company to understand and implement in a compliance way the regulatory requirement
EMIR
RTS 27 & RTS 28
Capital Requirements Regulation (CRR) and Directive (CRDIV) (only for AIFMs)
PRIIP KIDS
Market Abuse (MAR)
FATCA/CRS
GDPR
Reporting to and dealing with the Regulator(s)
Assistance and guidance with the preparation of annual/quarterly/monthly reports
Assistance with clients’ complaints

Ongoing multi-dimensional, sophisticated and tailored made consulting services
Identify your compliance business risks and provide the necessary guidance for rectification
Develop the necessary compliance program within your firm, aiming to create a strong compliance culture
Identify potential conflict of interests and provide the necessary mitigation actions
Provides outsourced compliance professionals for new and existing firms
Support and enhance your existing practices while protecting your firm and clients
Establishment of branches, tied agents and representative offices
Changing shareholders and directors
Structuring and restructuring of units and departments
Evaluation and analysis of systems and controls
Adjustments and changes to the organizational structure
Suitability assessment for prospective personnel
General strategic advice (related to regulatory matters)
On-site inspections
Regulatory update notifications with implementation plan
Website and marketing material compliance reviews
Assistance with updating electronic records
Calculation of regulatory annual fees
Regulatory gap compliance analysis and impact assessment
Compliance health checks