Corporate governance
- General organisation of governance
- Organisation and process of the internal control functions
- Group supervision of branches/subsidiaries, performed by the Luxembourg entity
- Remuneration policy
- Outsourcing activities, including IT
MiFID II - 360° assessment
- Investor protection, from the information provided, the client profile, the transaction cycle to the client reporting
- MiFIR including for example Systematic internaliser threshold calculation, the associated pre- and post-trade transparency or the transaction reporting requirements
- Advisory services
- Knowledge and competence requirements for client-facing employees
- Role of the compliance and internal audit function as well as other organisational requirements
- MiFID II controls
AML/CFT
- Internal AML/CFT risk assessment
- Risk-based approach for your client-acceptance process
- Ongoing monitoring of client identification
- Ongoing monitoring of client transactions
- Due-diligence process for distribution networks
- Role of the compliance and internal audit functions
- Staff training
Depositary function
- General organisation of the depositary function (including conflicts of interest)
- Ongoing monitoring/oversight of the activity
- Delegated activities and the supervision/monitoring duties
- The new client-acceptance process
- The different processes of your activity, depending on the asset type
- IT systems