Financial regulation and compliance



►Financial industry entities:

  • Credit Institutions
  • Payment Services Providers
  • Venture Capital Entities / Private Equity Firms
  • Electronic money institutions (EMIs)
  • Crowdfunding and crowdlending Platforms
  • Investment Services Companies (Stockbrokers, Asset Management Companies and Financial Advice Institutions)
  • Management Companies and Securitization Funds
  • Undertakings for Collective Investment Units

►Entities in the FinTech world (financial start-ups)

►Design and implementation of Regulatory Compliance and Risk Prevention Programmes (securities market, , anti-money-laundering, criminal liability risks, personal data protection, etc.):

  • Compliance with legal obligations of supervised entities
  • Preparation / review of manuals adapted to each entity
  • Support in the implementation of any organizational measures necessary
  • Corporate defence: prevention and detection of irregularities with possible criminal repercussions in areas such as the prevention of money laundering or public or private corruption
  • Personal data protection: risk analysis and impact evaluation
  • Staff training

►Handling of case files for sanctions and penalties by supervisory bodies

►Monitoring of upcoming regulation

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