Banks and securities firms
As an audit company licensed by the Swiss Financial Market Supervisory Authority (FINMA) to perform audits of banks and securities firms, we offer the following services:
- Statutory and regulatory audits of banks and securities firms
- Financial and regulatory audits of international financial groups
- Providing advice on issues relating to organisation, risk management and compliance
- Auditing IT processes and providing advice on them
- Providing expert and second opinions
- Consulting and support on regulatory issues
- Auditing, consulting and performing health checks in connection with qualified intermediary (QI) agreements and FATCA
- Providing active support in the authorisation process to operate as a bank or securities firms
- Provision of outsourcing and support services in the area of internal audit
- Performance of internal audit quality reviews
- Auditing of special areas falling under anti-money laundering legislation
- Auditing and assistance with capital market transactions and with CDB 08
- Consulting on cross-border service transaction issues and on the distribution of financial products
- Reviewing of public purchase offers, fairness opinions and prospectuses
- Regulatory & compliance services