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Welcome
on the web pages of Compllex, s.r.o, leading consultancy firm in the
field of compliance and regulation of financial services.
The scope of our services
We provide our services entirely on an individual agreement with
clients, according to their needs, character and range of financial
services provided by the clients. In general, we can summarize
services we provide, as follows:
- consultancy services in the sphere of compliance
- GAP analysis of the impacts of the new regulatory
requirements
- an implementation of new regulatory requirements
- processing or final proof of internal documentation
- co-operation in processing and proof of published
policies (Best Execution Policy,
Conflict of Interests & Inducements Policy, Remuneration Policy,
Voting Rights Policy)
- complete preparation of datas and administration of
licensing proceedings at regulators
- generation of new structures (funds of
qualified investors, structured financial products, optimisation of
corporate structures etc.)
- rules of conduct towards clients including processes of
control of checking questionnaires and related clients´ forms
- realization of an obligatory education (AML,
expertness)
- professional
internal seminars specialised on a particular regulatory area
(MiFID, CRD, UCITS, AML, MAD, SOLVENCY, BASEL etc.)
- for particular financial institutions we provide the
execution of an internal audit
- outsourcing or co-sourcing of an internal audit
- ad-hoc audit of particular processes or areas ...
- operational risk management (ORM)
- the execution of maps of operational risks
- the creation of business continuity plans
- business impact analyses processing ...
Particular examples of our services can be found in the section Testimonials.
Benefits of our services
We always primarily try to find a contribution for the particular
financial institution, while applying regulatory requirements. Main
aims
which should be accomplished by quality proceedings of regulatory risks
and professional functioning of compliance, are:
- financial institutions owners´ confidence with regard to
the
monitoring, management and minimisation of regulatory-compliance
– a guarantee of protection of owners´ assets, one of the biggest
benefit
- financial
institutions´clients´ complaints limitation and its negative
publication - ensuring the prevention of civil proceedings, protection
of "good name and media image"
- a protection of regulatory risks - an accomplishment of
administrative sanctions´ prevention, a confidence of conformity with
regulatory requiremets
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