Outsourced compliance or risk control services
For our clients in Switzerland, we can provide a range of services in accordance with the regulations applicable to the company:
- Outsourcing of the compliance function or its representation or support (outsourced compliance)
- Outsourcing of the risk control function or its representation or support (outsourced risk control)
- Provision of compliance and risk analyses, controls, reports and assessments for management
- Raising employee awareness of compliance issues and designing and implementing training plans
- Preparation of FINMA or SO enquiries in connection with the FinIA
- Advising and assisting with the preparation of applications to the FCA, SEC and international regulatory projects
- Advising on aspects of anti-money laundering (AML) and requirements for membership of a self-regulatory organisation (SRO)
- Advising on the exercise of asset management activities in Switzerland
We can assist you with all aspects of regulation and compliance, for example by supporting a company in applying for regulatory approval, helping a regulated company update its procedures and policies, or developing compliance and risk control culture and processes.
In collaboration with our international partners, we support companies in the event of changes to international regulations (e.g. in the USA).
How you will benefit:
The scope of our services is tailored to each individual client. We ensure your security by providing you with access to qualified staff on call. In addition, depending on our clients' services and internal organisation, we offer the use of an IT tool to promote continuous collaboration and link risk analysis with the results of planned controls at any time. This system can be operated as SaaS in Switzerland or on our clients' own platform.
For more information on how you can benefit, please contact us at info@amaudit.ch.