Services

Compliance

Delivering in-house and deputy compliance solutions, serving as a competence center for combating money laundering. From policy design to the implementation of regulatory processes.

RISIKOMANAGEMENT

Offering comprehensive support in risk management, spanning both consulting and assuming operational roles. Access our intuitive digital tools for risk management, featuring personalized templates for ease of use.

COACHING & AUSBILDUNG

Our proactive approach ensures executives are briefed on regulatory updates, enabling effective compliance and risk management. We train employees at every management level, addressing all compliance matters.

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Our Services

Compliance Outsourcing & Deputy Solutions

Compliance outsourcing enables the delegation of regulatory obligations from the “Second Line of Defense” and ensures that all requirements are met by experienced external compliance experts.Deputy solutions ensure the seamless continuation of critical compliance functions during personnel shortages or absences within the company.

Competence Center for Combating Money Laundering

We offer customized solutions for the prevention and fight against money laundering, based on current regulatory requirements and best practices.Our services include clients onboarding analyses, remediation projects, project management and reviews, as well as internal investigations utilizing leading IT tools.

Risk Management Outsourcing & Deputy Solutions

Risk management outsourcing helps organizations identify and manage potential risks early and efficiently. The defined processes and controls are supported by a 100% digital Internal Control System (ICS) and task management. Deputy solutions ensure the continuous operation of all risk management processes, even in cases of absence.

The current state of the control environment is continuously monitored, and the interplay between risks, controls, guidelines, and reporting is analyzed to identify gaps or inefficiencies in the control system. This approach is based on the “Three Lines of Defence” model.

Monitoring and Screening of Sanctions

Continuous monitoring and screening of sanctions are performed using state-of-the-art technologies and comprehensive databases. This ensures that companies can respond promptly to changes and do not violate any sanctions.

Tool for Digital Risk Management

Digital tools provide efficient solutions for the identification, monitoring, and minimization of risks. We utilize user-friendly tools that assist you in managing risks digitally and effectively.

Employee Training & Skill Enhancement

Practical training ensures that employees are always informed about the latest regulatory developments and best practices.

Targeted skill enhancement helps minimize compliance risks and strengthen internal expertise. Employee training can be conducted on-site or through e-learning.

We also offer the development of comprehensive and personalized training concepts.

Regulatory Audit Support

Support in the preparation and execution of regulatory audits to ensure that all requirements are met and that the audit process runs smoothly and without any material findings. Participation in the closing meeting with the auditing firm.

Policies and Guidelines - Design and Documentation

Customized compliance policies and document templates are developed and thoroughly documented to ensure proper implementation and traceability of all regulatory requirements.

Reporting for Executive Management & Board of Directors

Periodic reporting on compliance and risk management topics tailored to the individual needs of management and the board of directors.

Proactive Regulatory Support

Proactive assistance with regulatory changes to inform you of new requirements early and ensure the implementation of necessary adjustments.

FINMA/FMA Licenses or SRO Admission Applications

Strategic and operational support throughout the entire process of applying for FINMA or FMA licenses. Provision of all necessary templates for the process (statutes, guidelines, organizational chart, business plan, contracts, etc.). Complete and accurate submission of all required documents to ensure the successful acquisition of a license in Switzerland or Liechtenstein.

Support for SRO Admission Applications at: AOOS, ARIF, SO-FIT, OAD FCT, PolyReg, SRO SLV, SRO SAV, SRO-SVV, SRO SVIG, SRO-Treuhand Suisse, VQF.

Web-based learnings

Web-based training programs enable employees to expand their compliance competencies flexibly and independently of location. The courses are practice-oriented and tailored to current regulatory topics.

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Your entry in the advisor register.
Choose your e-learning TRAINING

BASIC TRAINING

Start

Anytime

Format

Online video training

‍Languages

German and English

‍Certificate BASIC TRAINING

Award of the certificate
*FIDLEG – Knowledge of the Code of Conduct (Basic Training)* / Valid for registration in the Advisor Register

Certification body

BX Swiss AG / regservices.ch

Compact course

Duration 4 hours

Enroll for CHF 295.-

Refresher Training

Start

Anytime

Format

Online video training

‍Languages

German and English

‍Certificate BASIC TRAINING

Award of the certificate
*Refresher: FinSA – Conduct Rules* / Valid for the renewal within 24 months in the Advisor Register

Certification body

BX Swiss AG / regservices.ch

Compact course

Duration 2 hours

Enroll for CHF 195.-

Our Process

Precision in Every Step

Analysis of the Current Compliance & Risk Setup

Together, we will assess your current framework. We will analyze the scope and identify opportunities for enhancements.

Capturing Your Expectations

Based on your input and requirements, we will propose potential solutions. Our goal is to ensure your compliance with necessary regulatory requirements.

Provision of Specific Solutions

We will provide you with a customized offer that includes a detailed scope overview, services provided, and transparent pricing

Conclusion of Agreement

You will receive a contract that can be accepted online. Our service is flexible and can be terminated at any time.

Onboarding

All processes will be implemented either on-site or remotely, ensuring a tailored solution that meets your specific operational needs.

Focus on Your Business

We will manage all aspects of the agreed service, allowing you to concentrate fully on your business opportunities.

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Our Services

Compliance Outsourcing & Risk Management Solutions

Compliance

RISIKOMANAGEMENT

COACHING & AUSBILDUNG

Our Services

Your entry in the advisor register.Choose your e-learning TRAINING

BASIC TRAINING

Refresher Training

Our Process

Precision in Every Step

Your entry in the advisor register.
Choose your e-learning TRAINING