Regulatory

Preparation of regulatory compliance audits
Audit issue resolution
Proper conduct of the business organization in financial institutions (i.e. KWG § 25a und § 25c, GWG § 9, WpHG §33)
Outsourcing Controlling (i.e. EBA GL/2019/02, MaRisk AT9, KAGB § 36, VAG §32)
Internal control system acc. to MaRisk BT1
Information security acc. to EBA/GL/2019/04 (ICT & security risk management) & BAIT, KAIT, VAIT
Implementation of General Data Protection Regulation (GDPR)
Compliance with relevant audit standards such as IDW PS 260, 330, 951, 980 or ISAE 3402
Liquidity risk management requirements e.g. BCBS 239 and BCBS 248
Impact analysis and operational stabilization (i.e. MiFID, BCBS 239)

Our teams have extensive experience in preparing for and accompanying regulatory audits and in audit issue mitigation.

We support you in ensuring a proper business organisation.