Financial Compliance | Fieldfisher
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Financial Compliance

Corporate financing harbours a number of liability risks for the shareholders, the acting corporate bodies and the companies involved. Within the scope of financial compliance, we advise you in the areas of banking & lending, corporate and asset management.

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Approach and Range of Services

Approach

Our compliance experience includes asset and project financing, acquisition and corporate financing as well as banking supervision: establishment and restructuring of financial institutions, branches and offices, regulatory authorisation issues.

As part of a detailed inventory and based on your specifications, we analyse the existing compliance system to identify any need for additions and optimisation.

Taking into account the specific characteristics of the institution, we propose practical measures to fulfil the regulatory requirements and avoid liability risks.

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Range of Services

As part of our compliance consulting services, we provide you with advice and support in the following areas in particular:

  • analysis of financial compliance requirements, taking into account existing or planned business activities, organisational structures and processes,
  • implementation and documentation of risk analyses in accordance with AT 4.4.2 para. 2 MaRisk and derivation of risk-oriented monitoring plans,
  • supporting the planning, implementation and documentation of monitoring activities,
  • analysis and optimisation of the internal control system (first level and second level) to ensure appropriate and effective compliance structures,
  • implementation of a process for identifying and analysing the impact of new legal and supervisory regulations and requirements,
  • implementation of a compliance framework (organisational guidelines, reporting system),
  • organising training and further education events for employees in the compliance function,
  • establishing credit, financial services and payment institutions as well as branches,
  • communication with BaFin/Bundesbank

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