Risk & Compliance

Healthy risk management,
a competitive advantage

Risk management and the adaptation of laws and regulations to the nature, organization and structure of your company are essential. Too often, laws, regulations and directives of the regulators are interpreted in a strict manner, without analyzing their full meaning and, above all, how they can be transposed into the company’s organization in a pragmatic and coherent way.

It is therefore necessary to establish a Risk Based Approach, allowing to define your risk appetite in the implementation of any new bill, ordinance or circular, coupled with simple and short internal guidelines that can be understood and known by all and above all, reflecting the reality of your organization. Our training programs are adapted to our clients, notably by creating tailor-made solutions (face-to-face or distance learning, but also through short videos) allowing time saving and efficiency.

At your side in the meanders of regulatory texts

risk and compliance

We accompany you from the identification of a new rule (regulatory watch), the analysis of the rule and its impacts, the definition of risks and the adaptation to your establishment (compliance project),

We bring you our vision so that your top management bodies can make the right decisions.

man writing on paper

Our steps

360° analysis

A vision of external risks and internal mitigation measures already in place or to be planned

Training

Simple trainings, adapted to our customers and their risks, allowing us to act according to the targeted public by interventions in plenary, by videoconference or in the form of short videos.

Project

Support throughout your project, ranging from regulatory support to taking charge of the project itself to the implementation phase (RUN)

Expertise

We work on the themes historically attributed to the Compliance function (i.e. Money Laundering and Terrorist Financing Act, Rules of Conduct on the markets and the fight against market abuse, cross-border regulations, investor protection) and today we bring you all our skills in data protection and ESG (environmental, social and governance criteria).

Internal guidelines and procedures

With more than 30 years of accumulated expertise in drafting internal guidelines, we are fully aware of the expectations of regulators and auditors and can help you establish simple and short guidelines, adapted to the size and structure of your institution and reflecting your internal organization perfectly. We help you create your path, structure and tell the story that will allow you to be successful in the audits that will be carried out on your company (e.g. Supervisory Review of FINMA, Deep Dive of FINMA).

Les abus de marché

Lorsqu’on évoque les règles de conduite sur les marchés financiers, on pense à des normes de comportements applicables aux acteurs des marchés boursiers qui disposent ainsi d’un cadre de réglementations permettant d’évoluer d’une manière éthique et conforme à la législation.

Dès lors, ces règles montrent aussi les faces obscures des marchés financiers, à savoir les délits d’initiés et les manipulations de marché ou de cours.

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