complias ltd.
Services
Our fresh-thinking and dynamic enterprise offers a broad and comprehensive variety of compliance solutions for banks and other financial intermediaries:
- Risk analysis of existing structures and processes
- Identification, control and elimination of compliance risk issues
- Development and execution of tailor-made compliance strategies and concepts
- Project management and compliance requirements
- Compliance outsourcing solutions
- Development, establishment and maintenance of internal directives
- Personnel training
- Compliance quality control
- Clarifications and opinions (compliance, legal and risk management)
- Development of compliance tools
- Legal services
- "Crisis" management support (compliance-related)
- Compliance documentation
- Financial services regulatory support
- Three steps to profit generating compliance
Compliance costs
- Understanding new compliance requirements
- Translating regulation in practical adequate solutions
- Implementing new directives and guidelines
- Costs of systems, internal training, process redesign, information and consultancy
- Disadvantage of competing with non-complying financial institutions
Cost reducing solutions
- Involvement in developing practically oriented regulation
- Incentives for regulators to ensure compliance cost reduction
- Early communication / information on regulatory requirements
- Clear guidelines on compliance and liability
- Reduce complexity and overlaps
- Interdepartmental coordination
- Eliminate unnecessary compliance efforts
- Avoiding higher compliance costs and penalties for non-compliance
Profit generating compliance
- KYC for new clients acquisition purposes
- Compliance related products for opening new opportunities
- Compliance systems for more efficient process management and control
- Cost cutting through upgraded organization
- Increased interaction with regulators for the promotion of the Swiss financial market
Products
For the day to day compliance activity complias offers:
- complias Country Risk Matrix ©
- complias Country Rating Model ©
- complias Professions Risk Index ©
- Web based training modules (anti money laundering, data protection, banking secrecy)
- Data protection guidelines
- Securities and distribution of funds (guidelines, marketing aspects)
- Country Factsheets © regarding doing business abroad (regulations, marketing aspects and behavioral aspects)
- complias Country Sanctions Factsheets ©
- Model Directive for the implementation of CDB 08 (agreement on the Swiss Bank’s code of conduct with regard to the exercise of due diligence) and MLO SFBC (ordinance of the Swiss Federal Banking Commission concerning the prevention of money laundering).
Contact
complias ltd
compliance advanced solutions
kirchacherstr. 9
CH-8608 Bubikon Zurich
t +41(0)43 343 92 45
f +41(0)43 343 92 49
General questions, email:
