Soft Compliance
This service is aimed at CISA authorised external asset managers and small sized structures not disposing of a Compliance Officer; its purpose is to assist the management when performing “soft compliance” activities such as:
- acknowledgement and implementation of the SRO regulation (e.g. FATCA, Automatic exchange of information…..)
- regular informatory document on normative novelties with which small structures must conform and concrete support;
- set up of a minimum framework of an internal control structure
- assistance in preparing due diligence of the company by third parties (banks, brokers, counterparties, insurance companies)
- performance of regular compliance activities such as FATCA, Automatic exchange of information and Mifid