inCompliance - outsoucring compliance et risk management sur geneve

Areas of intervention

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We support wealth managers, fund managers, traders, banks and trustees in their daily activities. Thanks to the broad spectrum of our areas of intervention, it is now possible to outsource your legal, risk and compliance activities with a single point of contact.

Regulatory Compliance

  • We ensure that your company’s organization and guidelines comply with Swiss law
  • We perform Level 2 regulatory controls
  • We train your employees according to your needs
  • We perform a Swiss regulatory watch
  • We report on Compliance risks
  • We prepare and monitor prudential audits
  • Independant Asset Managers
  • Investment Fund Managers
  • Securities Dealers
  • Trustees

Risk Management

  • Issuance and implementation of your internal Directives within Risk Management Framework

  • Inherent and residual Risk idendification and key controls mapping

  • Implementation of an internal control system

  • Identification of new risks linked to a change, a new product or an extension of activities

  • Execution  of risk controls and maintenance of a risks and controls database

  • Reporting to the Management and Board of Directors

  • Staff training

  • Management of Cyber-risks / conformance with GDPR 

  • Investment Fund Managers
  • Securities Dealers

LSFIN / MIFID II

LSFIN and MIFID II imply new requirements regarding suitability controls. We propose simple Tools for Independant Asset Managers to help comply with these requirements, avoiding uncommensurate costs.

  • Independant Asset Managers
  • Investment Fund Managers
  • Securities Dealers

Anti Money Laundering

• Client Onboarding Process
• Prospects pre analysis
• Monitoring of high risk clients and transactions
• Issuance of internal AML Directives,
• Review and issuance of forms (KYC, Form A etc.)
• AML mandatory reports
• Sanctions & embargos
• MROS suspicious report / announcement
• Audits preparation and assistance

  • Independant Asset Managers
  • Investment Fund Managers
  • Securities Dealers

CRS / FATCA

We advise on FATCA, CRS and QI areas. We deliver gap analysis and recomended remediation steps.

  • Securities Dealers
  • Trustees
  • Banks

Authorisation request for Independant Asset Managers and Investment Fund Managers

We assist your in obtaining your autorisation from the FINMA or from a self regulation body (SRO) :

  • Flat fees package encompassing Directives  required for autorisation requests 

  • Issuance of the autorisation pack and follow up with FINMA / SRO

  • Implementation of a simple and efficient organisation

  • Coordination with auditors in charge regarding the autorisation request

  • Independant Asset Managers
  • Investment Fund Managers
  • Trustees

Legal area

  • Support regarding Swiss and international laws and regulations

  • Analyse of contractual documents, financial products, situations and contractual relationships

  • In case of civil, criminal or administrative litigation, we enable you to get preferential rates with external Lawyers by transmitting all needed informations to them and answering questions, decreasing initial preliminary costs

  • Others : Disclaimers, Agreements and Directives issuance.

  • Independant Asset Managers
  • Investment Fund Managers
  • Securities Dealers
  • Trustees
  • Banks