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Financial enterprises are confronted with increasingly complex legislation and regulation. Every such enterprise should have a compliance role and compliance instrument in place. This instrument states which regulations employees should adhere to and how compliance with these rules is supervised. Our compliance specialists are eager to assist you. Ensuring that rules are kept and reputations remain intact.
The MiFID II and its implementation puts extra demands on your compliance. From large banks to small asset managers, the legal and compliance specialists of Charco & Dique help your organization to comply with the extra demands. Read more about MiFID II and what we can do for your organization.
When you don’t have a compliance officer or need additional support for your current compliance officer, you’re also at the right address. By using an external compliance officer, objectivity and expertise are guaranteed. We can either set up the compliance role at your organization and perform all of the activities on your behalf, or we can support your compliance officer by utilizing all of our knowledge and experience.
Visibly complying with financial legislation influences the processes of an organization greatly. In the financial sector it’s crucial to stay in control of risks and to account for them in a visible manner. To ensure you are on top of this, we want to help you manage compliance risks by:
Are you looking for advice or do you want to know more about whether you meet specific legislation and regulation? Amongst others we consult on these subjects specifically:
Want to be sure you comply with specific parts of legislation? It’s our pleasure to help you by:
We offer in-house training programs on compliance related subjects to increase the in-depth knowledge of your employees. These programs are often tailor-made and take specific target audiences and their wishes into account. Aside from compliance officers, we also offer coaching and support for directors and regulators of financial enterprises.
We are eager to help you gain an in-depth understanding of all the legislation and regulation that is applicable to your organization. In order to maintain a clear overview and gain insight in current and future legislation, we offer a legal framework with all relevant norms. We keep this framework up-to-date with our software package Ruler. We also help you implement new legislation in a timely manner.
Of course new initiatives are just as obligated to comply with legislation and regulation as your existing business. It’s our pleasure to assist you during discussions with regulators and to make sure together that your new initiatives are also fully compliant.
Transparent governance can only be achieved through a clearly designed compliance role and adherence to specific requirements. We would love to support you in creating a compliance role in your organization. The compliance role has to meet specific requirements during the initial design. These requirements make sure that the role facilitates transparent governance and principles.
We can assist you in setting up this role, building the compliance charter (stating the risks, roles and the people responsible for managing compliance risks) and compliance manual (stating the compliance activities).
Being the director of a financial enterprise, it’s crucial to know exactly which demands are relevant to your organization. You’re responsible for adapting your business, activities and products to new norms in a timely manner. A subscription on software package Ruler helps you maintain an overview of relevant and current legislation.
At Charco & Dique, we not only have detailed knowledge of the ever-changing financial laws and regulations, but we also have the experience to support our clients in their application like no other. Sometimes strategic, sometimes pragmatic, but always sustainable and forward-looking. Would you like to know more about the possibilities? Please contact us.