From organisational efficiency,
to regulatory compliance

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Agama Conseil

The Firm

Overview

AGAMA Conseil is an independent consulting firm, whose vocation is to sustainably support asset management companies, independent financial advisors and more broadly investment services providers in the areas of regulatory compliance, internal control, and functional and operational organisation.

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Agama Conseil

Our Services

  • AMF Authorisations and Extensions

    We support you throughout your application process until the effective licensing of your organisation by the French Financial Markets Authority (Autorités de Marchés Financiers – AMF). Our services include: Assistance in preparing, drafting, and updating the authorisation documents with the ...

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  • AMF Authorisations, and regulatory obligations forf investment products

    We assist you in preparing applications (initial or related to changes) and throughout the life of the products. Our services include: Assistance in drafting or updating regulatory documentation (KIID, prospectus, regulations, by-laws, subscription agreements, etc.), Preparation of requests for pro...

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  • Delegation of Compliance and Internal Control

    We have a significant and recognised experience in internal control, in particular in assisting the design and implementation of a Compliance and Internal Control Program (PCCI)… Assistance with the design and implementation of the Compliance and Internal Control Program (PCCI), Formalisation of ...

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  • Internal Control and Compliance Assistance

    We have a strong experience in supporting and assisting Compliance and Internal Control Officers (RCCI/ RCSI) in the completion of controls: Defining and implementing compliance, internal control and risk management systems, Supporting changes associated with regulatory developments, Assistance in ...

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  • Compliance Audit

    We can assess compliance and internal control frameworks in place for your regulated activities. Our services include: Assessment of compliance risks taking into account authorisations, applicable regulations and professional rules, Identification of areas for improvement of the framework in place...

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  • Support of and Advice on your Projects

    We can support your strategic project from definition to implementation: Mapping of relevant investment regulations, policies and practices, Analysis of challenges and impacts, On-demand technical and training materials, Feasibility analysis with respect to applicable regulations , Project alignmen...

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  • Assistance during Regulatory reviews/audits

    We support and assist you with compliance reviews/audits conducted by the Supervising Authority or other bodies: Review of documents and files communicated to regulators, Support with individual interviews and hearings, Review of the compliance/audit report, and assistance responding to control fla...

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  • Policies and Procedures

    We provide tailored support in formalising your operational organisation: Assistance in drafting and updating normative documentation (procedures, policies, regulatory and operational mapping), Assistance in defining internal rules of conduct and ethics. ...

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  • Regulatory Watch

    We are monitoring regulatory developments on an ongoing basis and provide the following services: Establishing a regulatory “hotline”, Periodic regulatory monitoring reporting, Regulatory monitoring and regulatory deadlines alerts, Ad-hoc identification and analysis of regulatory topics. ...

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  • Regulatory Training

    We deliver regulatory training and education tof your teams, on specific topics such as: Anti-Money Laundering and Combatting the Financing of Terrorism (“AML/CFT”), Market abuse, Investment product distribution schemes, New regulatory directives such as MiFID II, PRIIPS, IDD, etc.. Annual mini...

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Our latest news

21/Sep/2020 - PUBLICATION AGAMA

ESMA – Guidelines on outperformance fees

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11/Sep/2020 - PUBLICATION AGAMA

Luxembourg life insurance: read if you are a heritage professional …

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04/Jun/2020 - PUBLICATION AGAMA

Regulatory News CGP – January to March 2020

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