Institutions and their service providers are confronted with increasingly strict legal and regulatory requirements. Increasingly often, national or transnational regulations claim to be valid across borders. In case of violations, the penalties are often severe. Publicly-listed companies increasingly face attacks on their reputation and thus on their share price. In this environment, companies need tailor-made concepts to prevent and minimise their risks.
The topics of money laundering prevention (AML), securities compliance (in particular MiFiD, WpHG and MaComp), risk compliance and sanctions law are among our core competencies, as is data protection.
We support our clients in identifying and minimising legal risks in advance. In doing so, we always keep the individual needs of the company in mind, identify what is necessary and implement it together with our clients. Our team is not only familiar with the regulatory requirements, but also includes employees who have been compliance officers or AML officers themselves. Only with the corresponding procedural experience can the regulatory requirements be implemented efficiently and sustainably.
Our practical advice includes in particular:
- Carrying out the risk and hazard analysis required by the regulations.
- Preparation and support in adapting and updating the written regulations (work instructions, process descriptions, manuals and reports).
- Support in communication with supervisory authorities.
- Project support in resolving findings from audits (e.g., annual audit and special audits).
- Hotline for compliance issues: We are your “round-the-clock sparring partner” for all issues arising from day-to-day business. We advise you here unbureaucratically and cost-consciously by telephone.
- Outsourcing AML officer: We take over the function of the AML officer for you. In order to make it as easy as possible for employees to contact the AML officer, he or she is regularly on site.
- Taking over the function of the Ombudsmann