Regulatory & Compliance for Financial Services

Regulation is and remains a key driver for many developments in the financial sector. New requirements address social developments and have an ever greater influence on business and operating models. This new dynamic has an impact on the role and range of tasks of different areas of financial institutions.

Compliance with regulatory requirements remains essential. However, the C-level agenda is no longer purely driven by regulation. Efficiency and optimisation through technological innovations are becoming increasingly important in a difficult economic environment for institutions.

We are the partners of the Chief Compliance Officer and the Chief Regulatory Officer at banks, insurance companies and asset managers. Our employees support you with their expertise in the design of institution-wide standards & methods, processes and organisation, the selection and introduction of IT and tools as well as the identification, evaluation and coordination / design of regulatory changes.

The latest regulatory changes to CRR III and ESG reporting are not only complex, but also require prioritisation of possible implementation and localisation of responsibilities. Our range of solutions also includes support in IT-driven reporting and assistance with ECB onboarding. We also support our core annual audit teams at financial institutions and securities institutions as specialists in regulatory issues.

Do you need support in processing the results of a 44 audit of the compliance function? Does the internal audit department see challenges in ensuring the prevention of money laundering? In these and other cases, our employees will support you in the implementation of regulatory compliance. Whether for projects at board level or for granular further developments, we always analyse how innovative technologies and methods can be combined with our specialist expertise to achieve the client's objectives.

Anti-Financial-Crime

Anti-Money Laundering, Terrorist Financing & Fraud

RRP (Recovery and Resolution Planning)

Topics such as funding in resolution, separability, recovery and resolution plans

Reg-Tech

Einsatz von Technologien im streng regulierten Finanzmarktumfeld

ESG

Topics such as Pillar III ESG disclosure, EU taxonomy, CSRD and supply chain due diligence law (LkSG)

Sanctions

Reduction of false positive hits using machine learning tools

WpHG Compliance

With our excellent expertise and extensive know-how, we take your capital market compliance to a new level.