Compliance monitoring and reporting

• Review and refinement of compliance policies and guidelines
• Execution of annual compliance plans and control activities
• Preparation and presentation of quarterly compliance reports to the board
• Incident tracking, documentation, and reporting
• Use of digital tools for tracking and managing compliance workflows
• Monitoring of AML/KYC obligations and client risk profiles
• Conflict of interest identification and mitigation strategies
• Reporting of breaches, deficiencies and incidents and actions taken
• Desk-based and on-site verification of policy and routine implementation

Business Risk Assessment

We perform a comprehensive assessment of your company’s operational business risks as part of our client onboarding process. This assessment is conducted through a half-day session, where we work closely with you to identify and document potential risks associated with your business, your risk tolerance and risk mitigation measures

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As part of the preparation process, we will review your existing governing documents. The final business risk assessment report is used to create a customised compliance and control plan that meets all relevant regulatory requirements specific to your business.

Regulatory reporting

We perform and deliver all regulatory reporting to the Swedish and Norwegian Financial Supervisory Authority for MiFID and AIFM investment firms. This includes:

Annex IV, capital adequacy, half yearly reporting for licensed entities, client fund reporting and annual accounts.