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As a financial institution, you have to deal with an increasing complexity of laws and regulations. We like to make your daily practice a little simpler. Our compliance specialists help you meet the standards that apply to you, so that your risks remain manageable and your good reputation is preserved.

Compliance cycle

For the design of an effective and independent compliance function, the ‘compliance cycle’ offers a sound base. The starting point of the compliance cycle is clear compliance governance. This is recorded in the compliance framework and makes clear what the roles and responsibilities are of the most important departments within the three lines of defense model.¬†Below you see the compliance cycle as used by Charco & Dique.

compliance cycle