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DRAG
Regulatory & Compliance
We steer you towards Regulation in motion
Support the RCCI & RCSI function
We provide support to the RCCI/RCSI of a diversified clientele (management companies, EI and CIF) subject to the control and monitoring requirements of the supervisory authorities. We formalize permanent and/or periodic 2nd-level controls. We assist you in fulfilling the SGP's and UCI's reporting obligations. We prepare and present summary reports, recommendations and resolutions to supervisory bodies and management committees.
RCCI & RCSI Services
RCCI & RCSI consulting
Bridging the gap between regulatory challenges and their implemetation
Our team performs quality analyses and provides practical and customized solutions:
- Assess regulatory impact
- Analyze deeply existing business models
- Ensure implementation of AML/CFT regulatory projects
- Coordinate due diligence exercises
- Drafting manual of procedures and policies
- Conducting training
You wish to reinforce your staff with experts
We reinforce your team by bringing expertise, trust and experience with flexible profiles (including conducting officers or board members) on various subjects such as:
- AML/CFT
- GDPR
- Transaction monitoring
- Compliance monitoring
- Regulatory requirements
Externalisation
Our team
Cédric is a Réviseur d’Entreprises Agréé in Luxembourg since 2012 and gained international experience in Luxembourg and in London in audit and tax matters within a “Big 4” serving important Swiss, US and UK origin Asset Managers mainly in mainstream fund and in the alternative world.
Cédric completed his experience with 4 years at the Commission de Surveillance du Secteur Financier (CSSF) by carrying out more than 20 on-site inspections on the governance of investment fund managers and covering legal and regulatory subjects including AML/CFT.
Cédric was also part of the Circulars CSSF 20/744, 21/789 and 21/790 writing and implementation process.
Guillaume has more than 20 years of experience in the financial services industry
He built an expertise in the management of operational teams, internal controls set-up and risks assessment. He got also an expertise on treasury assets (collateral and liquidity management) and clients' support.
In his previous experience, he developed skills in terms of management, analysis of activities always with a view to improving the processes in place. The use of the lean method has improved operational performance and existing processes: implementation of Standards Operating Procedures (SOP), saving time in processing and improving customer satisfaction. It has endeavored to set up a collaborative management system inviting employees to actively participate in decision-making
Guillaume has also performed the AMF's certification RCCI/RCSI