Financial regulation and compliance

.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