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Compliance

Automated compliance combined with Geissbühler Weber & Partner’s hands-on and personal approach, delivering expert guidance tailor-made for your company.

 

AUTOMATED COMPLIANCE

The constant evolution of local and international regulations such as MiFID II, FINIG, FIDLEG, etc. is a major driving force in the financial industry. AM-One's application supports all efforts necessary to stay compliant with the regulations directly in the application. Client classifications, risk profiles, soft- and hard restrictions, suitability checks, pre- and post-trade checks, as well as indepth analytical reports are automatically regulated in the application.

MANUAL COMPLIANCE

Regular and repetitive, daily compliance tasks can be automated up to the control and approval level, giving the on-duty compliance officer valuable and accessible information for evaluating risk for your company; using standard reporting formats frees up the compliance officer to advise your company in its operations and helps us to advise you with the full range of our compliance and regulatory expertise. An outsourced compliance hence becomes a valuable partner in planning ahead, developing and growing your company. Our hands-on approach offers you concise advice, security and a free mind to focus on your business. 

Compliance Services

AM-One provides a well designed compliance framework to comply with the regulatory requirements such as MiFID II, FINIG, FIDLEG, GDPR, etc.

both from within the application and the outsourced compliance officer.

 

ANTI-MONEY LAUNDERING

  • Automated, clear-cut KYC building, mandating essential information to be provided by the author.

  • Automated check on risk countries.

  • Automated first-line check on transactions, both ex-ante and ex-post.

  • Automated reminders for first-line KYC reviews.

INVESTMENT CONTROLLING

  • Automated processing of titles incl. cash accounts on a daily basis.

  • Transcription of PDF credit and debit notes, account statements and other bank.

  • Automated control of restriction violations.

  • Automated control of asset class bandwidth violations.

  • Automated control of product and investment suitability.

CONTRACTS / DIRECTIVES

  • Elaboration and maintenance of customized contracts (e.g. for discretionary mandates or advisory mandates).

  • Elaboration and maintenance of customized directives (e.g. in terms of MiFID II, conflicts of interest, best execution etc.).

REGULATORY SUPPORT

  • Ad-hoc regulatory updates and training.

  • Training for new employee.

  • Supporting organisational changes in regard to compliance requirements. 

  • Supporting implementation of new regulatory requirements.

INTERNAL CONTROL SYSTEM

  • Automated regular checks of predetermined control activities.

  • Automated delivery of mails to the person in charge to execute control activity.

  • Automated reporting of checked controls and activities based on results.

CROSS-BORDER ACTIVITY

  • Automated check of cross-border activities.

  • Automated updates of cross-border guidelines. 

  • Individual cross-border trainings.

 

Collaboration

GWP is known as a efficient and pragmatic collaboration partner

COMMUNICATION

  • Ongoing communication of pending items with client.

  • Daily reachable telephone and e-mail support. 

  • Personal meetings additional to regular schedule during office hours on site.

  • Communication in German, English, French and Italian.

COMPLIANCE TEAM

  • Dedicated, specialized and experienced compliance team based in Switzerland.

  • Strong practice and profound knowledge of MiFID II, FIDLEG, etc.

  • Able to handle volume variations and securing continuity while absences.

DATA SECURITY & PRIVACY

  • Document management system connected to the PMS & CRM application.

  • Download of e-banking documents directly in the common DMS.

  • Audit compliant e-document filing system.