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After the financial crisis of 2008, investment firms such as banks, funds and Asset Management experienced a significant boost in scrutiny from the government on compliance. Nowadays, a compliance management system is a must for every investment firm. Financial actors are facing a legislative and regulatory inflation due to an intensification and complexification of the digital world. New-generation banking and financial professionals are feeling the need to be informed about the compliance details, workplace ethics, and risk management techniques to comply accordingly and secure a long-term career in the industry.

Integrity is essential to thrive and be successful as a financial or banking institution. Having high integrity implies having a strong compliance culture to treat customers fairly, protect employees, ensure satisfied shareholders and have the trust of society at large – including the competent financial authorities.

Compliance4Business helps its clients, at both international and national levels, with pragmatic and strategic advice on regulatory implementation and compliance risk management. At Compliance4Business we provide our clients an approach based on our experiences to offer organisational and continuity solutions. Our main goal is to promote a culture of compliance and integrity based on the market standards to meet prudential expectations.

Our experts are used to coordinating projects (Project Management), setting up related departments and/or endorse internal key functions such as AMLCO, Fraud Officer, KYC/CDD Analyst or Compliance Officer (outsourcing principles).

Our Bank & Fund team can assist you in the following non-exhaustive areas
  • Ensuring projects to comply with applicable law and regulations in relevant jurisdictions to meet the expectation of competent authorities (incl. MiFID II, MAD/MAR, complaints handling, conflict of interests, integrity, ESG, GDPR, DORA, Consumer Protection, Governance, General Prudential Regulations, etc.)

  • Conducting assessments to evaluate the maturity and robustness of the institutions’ internal structure and policy framework

  • Establishing and representing the company within a license file before the competent supervisory authorities

  • The implementation of remediation plans to address identified deficiencies

  • Training and awareness

Our others business practices

Private & Asset Repatriation

Privacy & Trade Secrets

Corporate Governance & ESG