Outsourced compliance or risk services

For our clients in Switzerland we are now able to provide a number of services depending upon which set of rules the company is subject to:

  • Outsourced or deputy compliance services
  • Outsourced or deputy risk services
  • Provision of compliance and risk analysis, controls, reports & assessments to management
  • Preparation and assistance with the Financial Services and Financial Institutions Acts (FinSA & FinIA)
  • Raising awareness, design and deliver training and solutions for satisfying Continuous Professional Development requirements
  • Advice on and help with completing the application for FINMA, FCA, SEC, NFA and self regulatory body registrations
  • International regulatory and remediation projects
  • Money laundering officer services as well as AML health checks and reports
  • Advice on best practice controls and procedures

We can assist with all aspects of regulation and compliance, ranging from guiding a firm through its statutory authorisation, assisting a regulated firm through the establishment of procedures or manuals through to construction and implementation of the optimal compliance culture and processes.

With the collaboration of our international strategic partners, we prepare firms for global regulatory change and are particularly well placed to guide firms, whether FINMA regulated or not, through the changes caused by the EU MiFID / AIFM Directives and the changes to US legislation.

How you will benefit:

Peace of mind of having expert staff on call. The service can be tailored from short consulting projects to becoming a fully outsourced provider.

For further information on how you can benefit please contact us at: info@amaudit.ch