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Compliance
Compliance as an extension of your team
New rules, emerging risks and shifts in business direction strain internal resources. Our consultants give timely guidance, run ongoing assessments of your policies and procedures, and recommend fixes for any gaps.
Frameworks we work with daily
Every rule that touches your firm, in one place.
We keep your policies, reporting and controls aligned with the EU and Cyprus frameworks that apply to your licence.
Your
firm
01
MiFID II
02
MiFIR
03
Capital Requirements Directive
04
EMIR
05
Investment Funds Law
06
Payment Services Law
Compliance support
Ongoing, tailored support.
- Regulatory compliance supportFor investment firms, funds/managers, AIFMs, PIs and EMIs.
- Day-to-day assistanceKeeping you aligned with MiFID II, CRD, EMIR and more.
- Policies & proceduresDrafted for your business model and operations.
- Annual reportingMandatory reports for competent authorities.
- Regulator communicationManaging interactions to maintain trust.
- Training & educationEquipping your people to apply the rules.
AML compliance
A robust, effective AML programme.
- Policy & procedure developmentDrafting or updating AML policies for new regulation.
- KYC implementationDesigning and running an effective Know-Your-Client process.
- Risk-based testingMethods to test how well your AML programme works.
- Independent AML auditsThorough review of your AML controls.
- TrainingInitial and annual AML training for staff.
Outsourcing & consulting
Compliance as a strength.
- Tailored consultingOngoing support for brokers, AIFs, EMIs and PSPs.
- Risk identificationSpot risks early, with clear remediation steps.
- Programme developmentBuilding a strong compliance culture.
- Conflicts of interestIdentifying and mitigating conflicts.
- Outsourced professionalsCompliance officers for new and established firms.
- Enhancing existing practicesProtecting your firm, clients and reputation.