Audits of Regulated Companies, Industrial and Service Companies

Within the framework of the audits of regulated companies, e.g. fund management companies, investment limited partnerships, payment service providers, factoring companies or asset managers, not only their respective balance sheets must be reviewed, but also the compliance with regulatory requirements.

The audits of the financial statements of regulated companies therefore require in-depth knowledge of the regulatory framework which are often also laid down in European law.

Essential for a successful audit, however, is hands-on-experience, how the often unclear and too abstract regulations can be appropriately implemented into the day-to-day procedures of a company. Only by applying such hands-on-experience it is possible that an audit does not consist of “ticking off” checklists, but of a constructive dialogue which takes the requirements of the specific and individual company and its business into consideration and also provides suggestions for improvements and optimisation of the internal procedures.

This is the dialogue we offer to our clients.

Overview of our audits

  • Audit of the financial statements of companies regulated under the Banking Act (KWG), the Payment Services Act (ZAG) or the Capital Investment Act (KAGB)
  • Audit of the financial statements of closed-end investment limited partnerships
  • Audit of the financial statements of issuers of investment schemes
  • Special audits pursuant to the Securities Trading Act
  • Audit of all other unregulated industrial and service companies