Compliance

 
 

Ensure the sustainability of your company thanks to compliance


A lack of compliance can be the source of a wide range of damage to your establishment: litigation, damage to reputation, judicial or administrative sanctions, loss of administrative authorisation.

 

Protect your establishment from any prejudice that could result from non-compliance with the standards in force thanks to our expertise particularly in the following areas :

  • development, implementation and control of compliance with the code of ethics

  • identification of conflicts of interest

  • control of compliance with anti-money laundering standards

  • for UCIs, monitors compliance with investment policies, management rules (discretionary or directed) of the underlying assets and standards relating to the marketing of derivatives

 

Using of external service providers enables you to reconcile the obligation of independence with the need to maintain direct contact between the compliance department and the governing bodies of your institution.


So, although full outsourcing of compliance is ruled out in some countries, entrusting at least part of this function to an external service provider is a guarantee of independence and quality in the eyes of the administrative authorities.