DS Compliance can assist directors and management.
Become one of your Board member, share knowledge on regulatory developments and experience as follows:
- Sound corporate governance practices and protect from potential personal liability and from reputational harm;
- Prevent from financial penalties for non-compliance with certain laws and regulations;
- Experience in robust regulatory and compliance structures.
Governance gap analysis
- Implement the better practice governance requirements;
- Identify the applicable laws and regulations to better understand the regulatory environment;
- Analysis of the legal framework and assessment of the systems and processes to ensure compliance and sound corporate governance.
ESG/Sustainable finance compliant solutions
- Following up regulatory developments on ESG and best practice of the market.
- Reviewing investment process & policies
- Implementing KPIs.
Governance continues to be complex business challenge due to increased accountability and potential exposure to liability.
Regulatory & Compliance Advisory
You need to comply with increased and complex requirements. The challenge is to deal with these regulatory changes, transform your business and improve your internal controls.
We assist you in this challenge by the following services.
Secondment & external permanent position in Compliance
We propose you the following solutions:
- Additional compliance human resource in transition periods (CSSF approval process & set-up of the Compliance function; restructuration of your Compliance department and maternity leave…etc).
- Permanent support as external Compliance Officer when possible, and RC or RR mandates.
Compliance & internal controls framework
We can help you:
- Assessing effectiveness of your policies & procedures
- Performing gap analysis & preventing breaches of regulatory requirements
- Advising on your Compliance function set-up and assisting you in implementation of the compliance monitoring program
AML-CTF compliant solutions
Our services include:
- AML-CTF regulatory watch
- AML-CTF risk assessment
- Implementing policies &procedures
- Due diligence of our assets& counterparties
Training & coaching
You need to ensure that your Board of Directors, Management and Compliance teams are properly aware of their professional obligations, liabilities and properly trained as required by the law.
Adapted and specific trainings
- Employees: compliance awareness training
- Management: coaching in Compliance matters
- Board of Directors: tailored-made training to your Board
- Board training, i.e. director responsibilities, obligations and ‘better practice’ governance requirements
- AML-CTF trainings to your Board, Management and Compliance teams