We provide Regulatory Compliance Officer Services to EU and non-EU, regulated or non-regulated entities (including Investment Firms, Investment Funds, Fund Managers, Payment Services Institutions, Administrative Services Providers, Electronic Money Institutions) that wish to outsource their Compliance Officer Function, or to have an external independent Compliance Officer review of their policies and procedures in place. Among the Compliance Officer’s duties, is ensuring compliance with:
EU Markets in Financial Instruments Directive 2004/39/EC (“MiFID I”)
EU Markets in Financial Instruments Directive 2014/65/EU (“MiFID II”) • EU Markets Infrastructure Regulation No 648/2012 (“EMIR”)
EU Markets in Financial Instruments Regulation No 600/2014 (“MiFIR”)
Common Reporting Standard (“CRS”)
Foreign Account Tax Compliance Act (“FATCA”)
Alternative Investments Fund Managers Directive (“AIFMD”)
Laws and Directives regarding the prevention of Money Laundering (“ML”) and Terrorist Financing (“TF”).
We may also undertake the preparation of your entity’s Annual Compliance Officer Report and provide ad-hoc or ongoing support to your Compliance Officer (including briefing of the latest CySEC Circulars, Directives, Laws). We can also assist you in developing a compliance monitoring framework ensuring your ongoing compliance with changing regulations and directives.
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