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Specialising in regulatory compliance, internal control and organisational consulting for players in the French and Luxembourg financial centres, Agama Group offers the following services :
APPLICATION FILE AUTHORISATION AND SUPPORT
Service proposed in the following countries
From the preparation of the application file to the obtaining of the regulator approval, we assist you at each stage of the process
- Support in your project to set up or develop either a regulated entity offering financial services or investment funds in France or in the Grand-Duchy of Luxembourg
- Support for the presentation of projects or during your communication with the regulators (AMF, CSSF)
- Drafting or update of application files
- Search for service providers to perform essential functions (custodian, central administration, auditor, domiciliation agent, transfer agent)
- Research on technical or specific points related to the organisation and nature of the business or to the investment strategy
- Assistance with the drafting or update of the regulatory documentation
- Assistance with product registration
- Taking charge of the social life of the products
- Support and assistance in the event of regulators requests or inspections
- Review and assistance in responding to comments raised in compliance/audit reports
Service proposed in the following countries
STRUCTURING
Is your range of products or services or are your investment funds evolving? We support you in defining, managing and steering your strategic projects
- Assistance in overseeing strategic projects (support in selecting the right investment fund structures, regulatory and market practice watch)
- Feasibility analysis of projects in relation to regulatory changes
- Assistance in the selection of service providers or partners
- Distribution, upon request, of technical material or specific training material
- Assistance in drafting and updating normative documentation (procedures, policies, regulatory and operational mapping)
INTERNAL CONTROL
Service proposed in the following countries
Benefit from a strong and recognised experience, tailor-made support and assistance in the pragmatic implementation of your controls
OUTSOURCING
- Outsourcing of compliance and internal control with a strong and recognised experience for the implementation of the controls
- Formalisation of second level permanent controls (Compliance function) and/or periodic controls (outsourced Internal Audit function)
ASSISTANCE
- Assistance to the compliance and internal audit function in place (in particular when it is carried out by a group entity that may be located in a different country than its subsidiary or branch) for specific assignments or in relation to local regulatory requirements (in particular compliance with the General Regulation of the AMF or with applicable CSSF circulars)
- Defining of the control functions and structuring of compliance, internal control and risk management frameworks
- Supporting changes associated with regulatory developments
- Assisting regulated entities in the production of reports intended for the regulators
DIAGNOSTIC
- Compliance audit consisting in the assessment of compliance and internal control frameworks in place for regulated activities
- Assessment of compliance risks taking into account authorisations, applicable regulations and professional rules
- Analysis of existing documentation (schemes, prospectus, KIID/PRIIPS, strategies implemented, selection criteria used, nature of the instruments used) according to a practical approach and taking into account your organisation and resources
- Implementation or follow-up of action plans or remediation plans in conjunction with operational staff
- Identification of areas for improvement of the framework and/or organisation in place in order to comply with best practices
- Advice on best practice in terms of organisation, tools and controls
GOVERNANCE
Service proposed in the following country
GOVERNANCE
Applying best practices in corporate governance helps you make the right decisions
- Mandates as AML/CFT Compliance Officer ("RC") in investment funds or assistance to the person from among the members of the management bodies in charge of compliance with AML/CFT obligations ("RR")/AML/CFT Compliance Officer for investment funds in Luxembourg
- Mandates of Corporate Secretary to the Board
- Connecting with independent directors
NORMATIVE DOCUMENTATION
Service proposed in the following countries
NORMATIVE DOCUMENTATION
- Drafting or review of procedures, policies and risk mapping adapted to your activities and products and to your target clientele
- Assistance in the formalisation of your operational schemes
REGULATORY WATCH AND REQUIREMENTS
Service proposed in the following countries
REGULATORY WATCH AND REQUIREMENTS
By constantly monitoring regulatory developments, your company and your investment funds are always up to date with their obligations
- Continuous monitoring and communication of regulatory developments and their interpretation by professional bodies (ALFI, AFG) or supervisory bodies (ESMA, CSSF, AMF) in Luxembourg and France
- Periodic regulatory watch alerts,
- Monitoring and alerting in relation to applicable regulatory deadlines
- Assistance in the operational implementation of new regulations
- Identification and analysis of specific regulatory points
- Assistance in drafting annual and specific reports
TRAININGS
Service proposed in the following countries
TRAININGS
Let’s train your managers, directors and teams to fully master the requirements of the financial sector, its developments and its regulatory challenges
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Training and regulatory challenges awareness sessions : • recurring training courses (AML/CFT, MiFID, market abuse)
• on-demand training courses (risk management, sustainable finance, regulatory requirements applicable to certain types of actors)
• investment product distribution schemes
• annual minimum knowledge assessment
Click here to consult our training catalogue
Formations AGAMA Group trainings in the year figures for 2023
1 181 participants
60 days session
8 267 hours of training
88 % success rate quiz
97 % satisfaction rate
SECURE TRANSMISSION OF DOCUMENTS TO REGULATORS
Service proposed in the following country
SECURE TRANSMISSION
OF DOCUMENTS TO REGULATORS
- Transmission of documents/reporting to regulators via a secure platform (e-file solution, AMfine), including for KIID, AIFM reporting
RISK MANAGEMENT
Service proposed in the following countries
Always stay alert and assess your risks by keeping a clear and up-to-date view of your activities
- Setting up or redesigning of your risk management system
- Mapping and definition of alerts
- Choice of a risk management tool
- Production of periodic risk monitoring reports of institutional quality
