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Our Expertises:

Compliance & Internal Control: meeting your regulatory obligations

To provide you with support tailored to your industry, we offer you a comprehensive range of compliance and internal control services.

Whether you operate in the asset management (SGP, CGP, PSI, PSAN, Corporate Finance), insurance, banking or services/industry sectors, your organizations are faced with an increasingly technical and regulated environment. These regulatory requirements call for tailor-made support.

How to contact us
Asset Management
Insurance
Bank
Services & Industry

Who are you?

 

  • A portfolio management company (“PMC”)
  • An asset management consultant (“CGP”)
  • An investment services provider (“ISP”)
  • A digital asset service provider (“DASP”)
  • A non-regulated company (Corporate Finance)

    • Approvals and support

    Exponens is an independent firm specializing in compliance and internal control for the financial and asset management sectors.

    Approval file (AMF/ACPR) / Approval extension (AMF/ACPR) / Approval exemption (ACPR)

    We support you during the preparation of your application and throughout the appraisal period, right up to the company’s approval by the supervisory authority: assistance with drafting and updating approval files, with any responses required during the appraisal process in the event of additional requests, and so on.

    We are also present throughout the corporate life of investment vehicles, as close as possible to changes: assistance in preparing approval or transfer files.

    Organization and strategies

    Our team can support you in organizing and structuring your operational compliance system:

  • Feasibility analysis of certain projects in line with regulatory developments
  • Implementation of best practices
  • Review of documents and files communicated to regulatory authorities
  • Assistance in drafting and updating normative documentation (procedures, policies, regulatory and operational mapping)
  • Temporary replacement of RCCI/RCSI

    • Consulting services

    Our team can also be at your side for certain tasks, such as reviewing sales documentation, customer reporting, answering any questions you may ask us, studying potential or proven conflicts of interest, etc., which do not fall within the scope of the RCCI’s control functions, and which must therefore be excluded from the number of days allocated to outsourced RCCI tasks, as declared in the program of activities and in the “FRA-RAC” report.

    Assistance with guardianship inspections

    We can support and assist you in the event of inspections by regulatory authorities and professional associations.

    Regulatory watch and requirements

    Thanks to our constant monitoring of regulatory developments, our team keeps you regularly informed of your regulatory obligations.

    What’s more, our team can provide you with specific support in the development of sustainable finance (ESG, taxonomy, SFDR, CSRD) and cybersecurity measures, which have become major challenges.

    Risk management

  • Mapping and definition of alerts
  • Implementation or overhaul of the company’s risk management system
  • Review of management/investment processes

    • Internal control

    Exponens assists regulated and non-regulated companies with their internal control systems.

    Compliance and Internal Control Delegation

  • Assistance with PCCI design and implementation
  • Formalization of permanent control work
  • Periodic control missions according to the points and periods selected
  • Formalization of summary reports on work performed
  • Holding of compliance and internal control committees and presentation of work performed

    • Our team assists you in structuring your compliance, internal control and risk management systems, in carrying out the company’s control work in accordance with the points and periods defined in the PCCI, and in formalizing the reports to be sent to the AMF.

    Our team assists you in structuring your compliance, internal control and risk management systems, in carrying out the company’s control work in accordance with the points and periods defined in the PCCI, and in formalizing the reports to be sent to the AMF.

    Compliance audits

    At your request, our team can draw up a diagnosis of the state of compliance and internal control for your regulated activities.

    Training

    Our team can offer you training courses to help your staff master all aspects of the financial market, its developments and its regulatory challenges.

  • Raising awareness of compliance and internal controls
  • Fight against money laundering and terrorist financing
  • Market Abuse
  • Sustainable finance
  • Cybersecurity
  • Exam preparation for the RCCI professional card

    • Deciphering

    Assisting you in an increasingly complex and constantly changing world.

    Taking charge of Internal Control (Permanent Control/Periodic Control)

    • Assistance with or delegation of permanent or periodic controls
    • Optimisation of the control system
    • Documentation of control sheets

    Implementation of new regulatory projects

    Assistance in implementing new regulations (GDPR, KYC, AML/CFT, Solvency 2, Sapin 2 Act, Eckert Act, MiFID2)

    Compliance / Remediation

    • Assistance with authorisation applications
    • Assistance in creating/implementing action plans after audits by regulatory authorities

    Here is the high-end advice.

    A need, a question, an advice?
    Do not hesitate to contact us.
    Our experts will be happy to answer you.

    Contact us