Welcome to the website of Compllex, s.r.o.

leading consultancy firm in the field of compliance and regulation of financial services.

The Scope of Our Compliance 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 "turn-key" 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 Clients.

Benefits of Our Compliance and Internal Audit 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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