Compliance

 

Our services > Compliance

Compliance

We have extensive experience of regulatory matters regarding companies operating in the financial sector. Companies that are under the supervision of the Swedish Financial Supervisory Authority or other supervisory authorities abroad are subject to complex regulations which are in constant change. Considerable time and effort are required to both comply with the regulations and at the same time be aware of future changes. Failure to comply can lead to a loss of reputation or various forms of sanctions from the Swedish Financial Supervisory Authority, and therefore compliance must be a top priority area for any company's management.

We assist all types of financial companies, including fund managers, AIF managers, investment firms, payment institutions and insurance brokerage firms in maintaining an independent compliance function by way of an outsourcing agreement. The assignment encompasses the tasks that the compliance function must perform in accordance with regulations and is designed according to the operations and needs of each company. The assignment includes compliance checks, monitoring of regulatory changes, employee and management training, advice and support, frequent meetings with representatives of the company and reporting to the CEO and board of directors.

Supporting an internal compliance function

Additionally, we can assist with the maintaining of a support function that complements an existing internal compliance function for those companies that have set up such a function internally. This support function is by way of regular meetings, assistance with regulatory compliance checks, training and simulated on-site investigations. This tailor-made service is also designed to reflect the operations and needs of each individual company.

Amin Bell
+46 76 135 98 00