Advisory for Institutions
Advisory for Investment Firms, Financial Services Institutions, and Banks
Banks and institutions must satisfy extensive regulatory requirements, whether derived from EU regulations, the KWG, WpIG, and WpHG, or BaFin circulars—particularly the Minimum Requirements for the Compliance Function (MaComp) or the Minimum Requirements for Risk Management (MaRisk).
We offer comprehensive advisory services on all matters concerning regulatory topics and support you in the implementation of new measures. We are also at your disposal for questions regarding financial reporting under the HGB and RechKredV.
Support for the Licensing Procedure pursuant to Section 15 WpIG
In order for a company to provide investment services and ancillary investment services, it requires a license from the supervisory authorities for its business activities pursuant to Section 15 WpIG. To obtain this, BaFin requests extensive documentation and information, for example, regarding the planned business organization or the projected business volume. We guide you through the application phase, assist in the drafting of organizational policies, and help prepare the multi-year business plan.
Outsourcing: Assumption of Functions
We are pleased to support you with our expertise by assuming or assisting with the functions of the Compliance Officer or Internal Audit.
