The regulatory framework for Private Wealth has strongly strengthened in recent years with the implementation of MIFID II, DDA or FATCA. Consequently, compliance is a major concern for players in the sector.

Private managers need to ensure the compliance of their key operational processes, in particular entry into contact, investment advice, credit or insurance brokerage, control of financial operations and reporting.

The compliance diagnosis is a very useful tool before the entry into force of a new regulation, when launching a new activity or the merger of entities. The compliance diagnosis allows the Directorates-General and Risks to obtain a picture of the current situation, to identify the associated regulatory risks and to define a remediation plan if necessary.

Périclès Group has developed methodological know-how for conducting compliance diagnostics in the banking environment.

For more information, contact us.

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