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 regulators, as well as responding to AMF’s inquiries and advising on relevant adjustments along the licensing process…. Our services include:

• Assistance in drafting and updating the applications and related regulatory documents and facilitation of the relationship with Regulators,
• Research and documentation on technical or specific topics related to the organisation and nature of the planned activities,
• Supporting the presentation of new developments and projects to Regulators,
• Assistance in responding to potential follow-on requests during the application vetting process by Regulators,
• Sourcing appropriate service providers to perform required functions (custody, valuation, legal audit, etc.).

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 product changes subject to pre-approval or ex-post notification with custodians and the AMF if applicable,
• Documentation on technical or specific points related to the management style and contemplated underlying assets,
• Assistance in responding to the Regulator’s requests during the authorisation/approval processes,
• Assistance with the registration of foreign vehicles in France or Luxembourg,
• Preparation of the regulatory information to unitholders or shareholders,
• Assistance to meet product regulatory and legal obligations.

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 second level permanent controls and/or periodic controls tailored to the company’s specific needs and obligations,
• Formalisation of Compliance Reports,
• Organisation and participation to Compliance and Internal Control Committees to present results and recommendations arising from completed controls

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 the completion of controls based on the items and frequencies defined in the Compliance and Internal Control Program,
• Formalisation of reports intended for the AMF.

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 in order to comply with best practices,
• Formalisation of audit summary reports,
• Organisation of and participation to a dedicated meeting to present results and recommendations.

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 alignment with effective governance,
• Support in selecting key service provides, vendors or partners.

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.

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.

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 minimum knowledge assessment,
• Training for the Compliance and Internal Control Officer (RCCI) professional licence.

 

Training provider registered with DataDock under no. 11 75 57739 75. Training delivered is not government-certified.