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Regulatory, Risk & Compliance
Featured - 2 items
To meet today's increasingly complex financial regulatory environment, the department of Regulatory, Risk & Compliance is dedicated to help clients understand its impact and implement solutions. Regulatory, Risk & Compliance brings together professionals with regulatory, operational and compliance background to provide timely, cost effective and practical assistance to you. Our Regulatory, Risk & Compliance 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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Contact us
Benjamin Gauthier
Advisory Partner, Risk & Compliance and Managed Services Leader, PwC Luxembourg
Tel: +352 49 48 48 4137
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