Audits
We conduct regulatory and legal audits consisting in a detailed analysis of selected areas of clients’ activities, at the regulatory, documentary and operational level. We examine compliance of internal and external documentation with financial market regulations as well as compliance of implemented operational processes with clients’ internal documentation.
Process
Analysis of documentation and procedures
Recommendations of amendments
Process testing
Detailed compliance report
Our audits
Audit of a fixing participant
Audit of compliance with MIFID/PRIIPS/SFTR/ EMIR/AML…
Audit of benchmark administrator
Audit of benchmarks contingency plans
Audit of compliance with KNF’s recommendations and other regulatory guidelines
OUR SPECIALISTS
Marek Trzos-Rastawiecki
Inga Dulska
Marcin Bartczak
