Processes and guidance, as well as systems developed and tested some time ago, run the risk of becoming inefficient and ineffective. A Health-check of your organization and of your processes will highlight weaknesses and gaps as well as reveal potential for improvement and increase of efficiency. GWFi SA can determine, through a centered analysis, the presence of deficiencies and suggest remediating action. It can also offer a focused assistance in the implementation of possible solutions.
- Health-check of control systems and risk assessment strategy;
- Business analysis (assessment) for AML purposes;
- Analysis of client files (groups or specific segments);
- On-boarding documents analysis for FATCA/AEI purposes;
- Financial Services Act (FiSA) Financial Institution Act (FinLA) impact analysis;
- Analysis to identify financial market standard violations and rules of conduct and insider trading.
Why Geissbühler Weber Fidinam SA?
GWFi SA employs a pool of compliance specialists who are flexible and multi-lingual, and that have matured several years of experience in the ambits of auditing, consulting, as well as executive and specialized roles in the Ticino financial sector.
GWFi SA has ample experience in assisting financial operators in the analysis of the observance of the legal requirements, regulatory provisions and internal rules, as well as market standards and rules of conduct. Because of an activity primarily focused on Swiss financial service providers, GWFi SA enjoys an unrivaled position of experience in the compliance consulting sector.