Know-How &
Services
Free yourself from headaches caused by cumbersome regulations, contradicting strategy and business requirements as well as complex implementation projects that bind far too many resources, while being selective when choosing who to cooperate with. Why use the service of companies that may make problems even more complicated and exhaustive than they already are? Our team consists of a network of highly qualified professionals with decades of knowledge that provide proven excellence as well as pragmatic and workable solutions. Our suits might not be that fancy, but our delivery is unparalleled in quality.
No matter the complexity of the task at hand, we take care of the details so you don't have to.
When you work with us, you save yourself:
-
Costs, because we have no overhead and require no on-the-job training
-
Time, because you're exclusively dealing with highly qualified, senior experts
-
Labour, because we work in a targeted and efficient manner
-
Nerves, because we are a solution machine that creates real value for money
Sustainability / ESG
Ensure that sustainability is more than a catch-phrase, but a realistic business opportunity in line with current regulations. Sustainability has emerged as a topic of ever-growing interest in recent years. We are proud to have successfully been helping numerous clients in all matters Sustainability since 2017. All companies seeking investments are being faced with more and more scrutiny of their business model against the backdrop of sustainability criteria and, therefore, increasing demand by sustainability conscious investors. Yet, it’s not plain sailing for investors’ either. The EU Commission has been issuing a set of very extensive and ambitious legislation that impacts both Financial Market Participants (Banks, Asset Managers, Investment Companies, Insurance Companies) as well as Financial Advisors. Our core services cover:
- Our services include supporting the recalibration of your business strategy and product universe (MiFID II Sustainability Preferences, Art. 8 funds/Art 9 funds) alongside the identification of business opportunities in a growing market of sustainable investments.
- Our experts help you to make sense of and successfully implement the complex and partly contradicting requirements stipulated by both Sustainable Finance Disclosure Regulation (SFDR) and Taxonomy Regulation (Taxonomy).
- We provide expertise for the development of a Sustainability Strategy tailored to your business model, including upgrading of Engagement processes, Remuneration and Governance systems.
- Our experts support you in the process of identification and management of Sustainability as well as Climate (Change) Risks relevant to your business model and investments.
Governance Optimisation
Empower your business to operate like a well-oiled machine so it can focus its resources on its main purpose. Governance is a topic that confronts companies with challenging and wide-ranging questions, such as:
- How can both Executive and Supervisory Board demonstrate that they exercise the diligence of a prudent and conscientious manager (see Art. 84 para. 1 AktG, Art. 39 Austrian Banking Act)?
- How do I measure and effectively mitigate non-financial risks such as Compliance Risk, ESG Risks (Greenwashing), AML Risks and Reputational Risks?
- Does everyone know what they are supposed to do and how to do it (meaningful and effective policies, workflows and processes)?
- Do we document meaningfully (concise but sufficiently detailed, understandable, up-to-date)?
- Does the company have an effective Internal Control System (ICS) and Compliance Management System?
- Did we enhance our conduct of ICT (information and communications technology) risk management, establish a thorough testing of ICT systems, increase awareness of cyber risks and ICT-related incidents faced by our company? Did we consolidate and upgrade related risk processes and procedures to manage and mitigate ICT risks? While being crucial, those questions can take up a significant amount of time and divert resources away from running your day-to-day business. We support you by enhancing the efficiency of internal workflows and resources employed.
- Efficient and effective Governance and Internal Control System: Based on more than 20 years of experience, our senior experts support you in establishing an efficient and effective Governance and Internal Control System, that clearly defines the tone-from-the-top. It also enables your company’s sustainable growth while withstanding scrutiny by both regulators and investors.
- Benchmarking: We also provide both targeted and comprehensive reviews of your Governance and Internal Control System combined with benchmarking to relevant competitors to identify opportunities for streamlining, automatization and optimisation
Regulatory Advisory
Make sense of the ever-increasing complexity of regulations and identify areas of opportunity. Our experts have been providing expert regulatory advice for more than 20 years. We appreciate it’s an area not everyone immediately takes to. Yet, it is one of the most crucial areas that you will need to master, so that you can then put your energy into the every-day success of your company. Our experts can fall back on in-depth experience in interpreting, successfully implementing and reviewing the roll-out of some of the most complex and challenging regulations. Our core competencies encompass
- Core Asset Management regulations (UCITS/InvFG, AIFMD/AIFMG, Real Estate Investment Act/ImmoInvFG)
- Investment Management regulations (MiFID II/MiFIR)
- Sustainability Regulations (SFDR, Taxonomy)
- Digital Operational Resilience Act (DORA)
- Cross-sector regulations such as AML/CFT, Governance, Internal Control Systems, Remuneration and Non-Financial Risk Management Our core services cover:
- Identification, review and interpretation in terms of impact of new regulatory requirements for your specific business model
- Support in development or adaptation of your business model, portfolio strategy and investment approach
- Expert opinions on specific regulatory questions
- Compliance Quick-Checks and Benchmarking Assessments based on our in-depth knowledge of best-in-class standards
- On-going cooperation with both Executive Board and Compliance in translating regulation into workable, pragmatic and regulatory compliant solutions that support sustainable business growth
- Review of policies, procedures and processes to ensure compliance with and meaningful documentation of regulatory obligations
- Our experts support you in the process of identification and management of Sustainability as well as Climate (Change) Risks relevant to your business model and investments.
Fit & Proper Training
Turn a regulatory requirement into an advantage by providing valuable knowledge to your Executives, Supervisory Board Members and all your experts Turn a regulatory requirement into an advantage by providing valuable knowledge to your Executives, Supervisory Board Members and all your experts. Financial Services Companies (Banks, Asset Managers, Alternative Investment Fund Managers,Insurance Companies) have been required for years to train their Executives, Supervisory Board Members and Key Function Holders to enable them to meet regulatory fit and proper requirements. Our core services cover:
- Semi-annual / annual Regulatory Updates: Our experts know how to provide those Regulatory Updates in a way that makes regulatory topics come to life and relevant to you.
- Tailored Fit & Proper Trainings for Executives and Supervisory Board Members: Even after having trained hundreds of Executives and Supervisory Board Members as well as Key Function Holders ahead of FMA hearings, our experts never grow tired of passing on expert knowledge in an easy-to-understand way.