Advising Regulated Companies

Financial market regulation is in a constant process of change. Almost every year, new regulations are enacted, or existing regulations are adapted and changed. Be it in the area of the prevention of money laundering, the distribution regulations for financial instruments (MiFID II) or in the in the area of payment service providers (PSDII): New laws require new internal procedures, a new set of documentation or new rules of conduct vis-à-vis customers.

We guide you through the regulatory jungle. We provide support in licensing procedures with BaFin, advise on the adaptation of existing internal procedures and also take on the tasks of the internal audit or the role as money laundering officer. Due to our wealth of profound experience, we are in the position to develop tailor-made solutions for regulated companies.

We assist regulated companies by rendering the following services

  • Advising on licensing procedures with BaFin in accordance with the Banking Act (KWG), the Payment Services Act (ZAG), the Capital Investment Act (KAGB) and EuVECA
  • Advice on meeting the requirements for combating money laundering and terrorist financing
  • Development of sales procedures that are secure in terms of liability and supervisory law
  • Establishment of an internal risk management system
  • Implementation of internal auditing
  • ISAE certifications
  • Valuations at acquisition and ongoing valuation of assets