Thanks to the experience they have gained with market players and to their combination of legal and economic-financial skills, the Firm’s professionals have long assisted their clients – namely, banking and financial intermediaries and insurance brokers – in compliance activities, e.g.:
- regulatory oversight
- setting up of control functions (Compliance, Audit and Risk Management), determination of the skills profiles and drafting of service agreements, if any;
- preparation of gap analysis matrices
- advice on appropriate organisational and procedural measures to mitigate compliance risks
- compliance tests
- ex post compliance checks
If requested, the Firm’s professionals will take on responsibility for the Compliance function on an outsourced basis.