Internal Audit, Investigations & Compliance Support Services for EU Investment

 

The specialized team working alongside with our Partners, provides full and comprehensive Internal Audit, Special Investigations and Compliance Support (MiFID) Services to a great number of European Investment Firms. Our duly certified internal auditors and experienced compliance officers are continuously trained and supported by one of the largest team of experts in the EU to provide to European Investment Firms:

  • Full Internal Audit Services, in accordance with the Home State regulatory bodies’ requirements of the financial institution
  • Full range of comprehensive Compliance Support Services (MiFID), by a qualified team of legal experts and professionals
  • Q&A MiFID Compliance e-Support (Urgent Service or 48-hour Service)
  • Special investigations and due diligence of processes and procedures by requests of the Board or Management
  • Preparation and documentation of internal procedures and processes in accordance with client needs and in accordance with the relevant EU regulatory bodies’ requirements
  • Preparation of internal audit reports for management and company’s Internal Audit Committee
  • Systems’ Audit – verification of systems, platforms and computer applications of the Investment Firm. Assessment of their suitability, efficiency, and the level of controls to ensure valid, reliable, timely, and secure input, processing, and output during their operation, in accordance with the requirements of the local regulators
  • Independent ‘compliance checks’ of EU Investment Firms necessary to keep their internal procedures in full compliance with the fast-changing European regulatory environment
  • Provision of on-site personnel for compliance assistance
  • Monthly/quarterly compliance reports
  • Compliance support for KYC and Anti-Money Laundering procedures
  • Q&A Know-Your-Client (KYC) support
  • Assistance in requesting exceptions and extension under the Law, from the relevant EU authorities

For more information and to compare our prices please feel free to contact us.