Our team’s core competence lies in the deep knowledge of the legal regulation and practical challenges of investment services, as well as the related advisory experience. The goal of our services in this sector is not only to ensure that our clients comply with domestic and international regulatory requirements, but also that they maintain or even improve business efficiency. We support our clients in establishing a long-term sustainable operational framework – to safeguard market integrity, client protection, and the effective management of regulatory risks.
We support our clients along the entire investment services value chain
KPMG’s advisors contribute to ensuring regulatory compliance, reviewing processes from a regulatory perspective, assessing the adequacy of digital solutions, product development matters, as well as the development of the regulatory reporting and control environment.
The regulation is extremely extensive and detailed – we provide the appropriate depth of expertise to match it.
The range of investment services is one of the most strictly regulated areas of the financial sector. Detailed requirements govern not only the design and provision of products and services, but also the human, material and operational conditions, internal controls, and investor protection measures. In line with this, we provide compliance support at the highest level of depth.
We offer support to various market participants in all of the above areas of investment services – including asset managers, insurance companies, commercial banks, neobanks, fintech or insurtech companies, crypto service providers, and wealth managers serving premium client segments. Our services have recently been expanded to include advisory support for trust management activities.
Our experience and regulatory compliance services particularly cover the following areas of investment services:
- assessment of the control environment (gap analysis, readiness assessments, preparation of action and project plans)
- regulatory compliance, licensing of activities or securities issuance,
- process optimization and introduction of digitalized solutions (e.g., process definition, business specifications)
- support for internal audit and compliance reviews,
- follow-up of external/internal audit findings and support for their implementation.
We provide further support in the practical application of specific regulatory requirements in their implementation, with particular focus on meeting supervisory requirements, e.g., interpreting findings from comprehensive or ad-hoc supervisory audits and providing support in achieving compliance.
We have experience in the following regulatory packages:
MiFID II & MiFIR, AIFMD, UCITS, PRIIPs, EMIR, SFTR, IDD, MAD/MAR, AML, the Benchmark Regulation, as well as the related national legislation and non-legislative instruments.
We deliver tailored solutions for every client’s needs. In our advisory work, we think from the client’s perspective while also taking supervisory expectations and business objectives into account. Our solutions incorporate best practices and supervisory insights gained through the international members of the KPMG network.
Our regulatory experts provide support, for example, in:
- reviewing internal processes, policies, client information documents and business rules, as well as preparing related documentation;
- developing and monitoring systems for anti-money laundering (AML), for the prevention of insider trading and market manipulation, and for client communication;
- ensuring that financial instruments and investment services comply with ESG requirements.
If required, we take part in:
- in securities issuance and rating processes;
- in the compliance review of the entire client onboarding and due diligence process -from the initial contact to the granting of trading rights.
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