Regulatory & Compliance Advisory Services

Compliance Function

Elevating the compliance function to drive value to your business

To meet today's increasingly complex financial regulatory environment, the department of Regulatory & Compliance Advisory Services (RCAS) is dedicated to help clients understand its impact and implement solutions. RCAS brings together professionals with regulatory, operational and compliance background to provide timely, cost effective and practical assistance to you. Our RCAS team advises all entities which perform professional activities that are regulated by the Luxembourg Commission de Surveillance du Secteur Financier (the "CSSF"): banks, PSFs, investment funds, management companies, e-money institutions and payment institutions as well as other financial service providers.

  • Compliance diagnostic & Implementation;
  • Fund Office Services;
  • Setting up a financial institution / ECB and CSSF licensing process;
  • Product Set-up / Compliance;
  • Regulatory Watch Services (3W)
  • IT outsourcing services;
  • Direct support to your compliance function;
  • Preparing an on-site inspection;
  • Fit and Proper assessment for Management Bodies;
  • Risk management.

Regulatory framework

The Markets in Financial Instruments Directive II (MiFID II) and the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation rules went live in January 2018, introducing requirements for firms to disclose specific information on the costs and charges of certain investment products or services. 

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Contact us

Benjamin Gauthier

Advisory Partner, Risk & Compliance and Managed Services Leader, PwC Luxembourg

Tel: +352 49 48 48 4137

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