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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.
- Regulatory support in Fund, ManCos, AIFM, Banks and PSF set-up
- Regulatory Watch Services (3W)
- Corporate Secretary Services
- IT Regulatory support (Outsourcing, Due Diligence, IT risk)
- Due Diligence Services on delegates
- Support to compliance function
- Fit and Proper assessment for Management Bodies
- Risk management for asset management and banking
- ESG / Sustainability
- Regulatory support to depositary function
- Regulatory reporting (PRIIPs, KID, CSSF reporting, AIFMD, Risk)
- Fund investment compliance
- Risk modelling
- Preparing for on-site inspection
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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Interested links
Luxembourg
Commission de Surveillance du Secteur Financier (Luxembourg financial regulator)
Banque Centrale du Luxembourg (Luxembourg Central Bank)
Association Luxembourgeoise des Fonds d’Investissement (Association of the Luxembourg Fund Industry)
Association des Banques et Banquiers, Luxembourg (Banks and Bankers Association)
Luxembourg for Finance
Association Luxembourgeoise des Compliance Officers
Association des Compagnies d’Assurance et de Réassurance
Contact us
Benjamin Gauthier
Advisory Partner, Risk & Compliance and Managed Services Leader, PwC Luxembourg
Tel: +352 49 48 48 4137
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