DS Compliance

MANDATES

Compliance Officer

Your challenge:

  • The Compliance responsibility of Management towards the supervisory authorities, “Commission de surveillance du secteur financier” or “Commissariat aux Assurances” and the Financial Intelligence Unit …

Our proposal:

  • Execute the Compliance duties: analysis of breaches, reporting on a regular basis to Management and the Board of Directors…

How?

  • External mandate of Compliance Officer

Conducting Officer (fund management companies)

Your challenge:

  • The responsibility of Management towards the supervisory authorities

 Our proposal:

  • Execute some of the duties of Conducting Officer (activity reports on a regular basis to the Board of Directors and reporting to the supervisory authorities, “Commission de surveillance du secteur financier”or “Commissariat aux Assurances” and the Financial Intelligence Unit…when required
  • Oversight of internal control functions and delegated functions
  • Be the contact officer with the supervisory authorities

How?

  • External mandate of Conducting Officer

Compliance support

Your challenge:

  • Ensure permanence, independence and allocation of sufficient resources to the Compliance function

Our proposal:

  • Support in Compliance (new projects, strengthening your Compliance team and specific expertise in new regulations)

How?

  • Support in Compliance

Independent Director

Your challenge:

  • Ensure independence and diversity of competences among your Board of Directors

Our proposal:

  • Expertise in Compliance, internal controls and more specifically for investment funds, in the distribution area.

How?

  • Mandate as Independent Director

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