TRUST IS GOOD, KNOWLEDGE IS BETTER
OUTSOURCING
Acts as external compliance department, performance of control and supervisory responsibilities on site, telephone support, temporary freelance assignments to customers as stop-gap solution during staffing shortages.
CONSULTING
Assistance in implementing the provisions under the Swiss Banks’ Code of Conduct with Regard to the Exercise of Due Diligence (CDB) and the Swiss Anti-Money Laundering Act (AMLA), assistance in classifying the risks associated with client relationships, consulting and support for the introduction of transaction monitoring regulations and systems, assistance in assessing reporting obligations.
PROCEDURES
Consulting with respect to SROs’ subordination to supervision, assistance in navigating the application procedure for joining an SROs/control authority, representation, assistance during CDB supervisory commission procedures, preparation of voluntary disclosures.
ORGANISATION
Advice regarding the establishment of compliance offices and departments, review and optimisation of processes and control mechanisms, advice and assistance in the implementation of compliance-relevant IT tools.
DOCUMENTATION
Preparation and review of internal instructions, regulations and manuals, preparation and control of forms, contracts, process flows and job descriptions.
TRAINING
Implementation of training sessions and workshops on compliance issues.
AMLA AUDIT
Conduction audits in accordance with the demands of current legislation and the codes of conduct of SRO PolyReg. Support and advice on the adaptation of your internal organisation to meet the requiements of the latest, new provisions of the Anti-Money Laundering Act (AMLA).
