Our expertise
Solutions to financial services firms subject to control with French ACPR and AMF regulatory organisations.
Authorisations
Application preparation and extensions, assistance in dealings with regulators, preparation and performance of control plans, procedural and policy updates
Compliance checks
Analysis of existing system, drafting, update and adaptation of procedures, performance of permanent and/or periodic controls under delegation arrangements, IS audit, pre-audit and follow-up of recommendations
RCCI /
RCSI*
Assistance with risk mapping, risk management policy, process optimisation, definition of control plan, reporting, stress tests
Day-to-day services
AML / CTF / MiFID training, market abuse, assistance with the selection of management tools, BCP review, testing, GDPR, DPO, monitoring of regulatory changes and assistance with adaptations to such changes
*RCSI = Investment Services Compliance Officers / RCCI = Compliance and Internal Control Officers