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Legal & Compliance​

Compliance has taken a major role in the day to day operations of financial intermediaries and the operational budget spent on compliance is continuously increasing as:

Governments and legislators continue to increase the legislative burden;

Reputational risks are increasing due to high speed in circulation of information;

Business risk has to be constantly evaluated with regards to an evolutive environment.

In order for financial intermediaries to cap the costs for compliance you can see the following trends:

Juniorization of compliance staff in order to minimize the fixed back office costs;

Deficit of depth and diversity of education, professional and life experience of compliance staff, making them less capable to appreciate precisely the business risk;

Lack of adaptation of compliance practice to the specific business features of each financial intermediary.

A smart option for financial intermediaries who want to achieve a high level of compliance and not spend simultaneously a large part of their operational budget on compliance: OUTSOURCING !

That is where LEXIANCE can be of assistance and add value to its clients business, making our clients:

Compliant towards laws and regulations;

Essentially in full control of all legal, operational and reputational risks they face;

Organized with a solid comprehensive compliance architecture to ensure a sustainable development of their business.

LEGAL & COMPLIANCE

EXTERNALIZED FUNCTIONS

  • PERMANENT AML COMPLIANCE MANAGER​
  • TEMPORARY AML COMPLIANCE MANAGER​
  • PERMANENT SUPPORT TO COMPLIANCE MANAGEMENT​
  • TEMPORARY SUPPORT TO COMPLIANCE MANAGEMENT

ADVISORY

  • AML ADVISORY
  • FINANCIAL LEGAL ADVISORY
  • REGULATORY ADVISORY
  • LEFIN & LSFIN ADVISORY
  • AML CORPORATE GOVERNANCE
  • ADMINISTRATIVE LITIGATION – LEGAL ADVISORY & SUPPORT
  • CRIMINAL LITIGATION – LEGAL ADVISORY & SUPPORT
  • CIVIL LITIGATION – LEGAL ADVISORY & SUPPORT

TRAINING

  • ON-BOARDING STAFF LEGAL & COMPLIANCE TRAINING
  • PERIODIC LEGAL & COMPLIANCE TRAINING
  • SPECIAL TOPICS LEGAL & COMPLIANCE TRAINING

L&C FOR ASSET MANAGEMENT

  • SET-UP & LICENCING OF ASSET MANAGEMENT COMPANY
  • TRANSACTION MONITORING
  • CLIENTS ON-BOARDING
  • KYC ANALYSIS
  • PERIODIC CLIENTS REVIEW
  • POLICIES & PROCEDURES REVIEW
  • AML AUDIT PREPARATION
  • STAFF COMPLIANCE TRAINING
  • FOLLOW-UP WITH REGULATORS
  • CRS COMPLIANCE
  • FATCA COMPLIANCE
  • LEFIN & LSFIN COMPLIANCE
  • ELECTRONIC NAME CHECKS AND ASSESSMENT

L&C FOR FUND MANAGEMENT

  • SET-UP & LICENCING OF ON-SHORE INVESTMENT FUND
  • SET-UP & LICENCING OF OFF-SHORE INVESTMENT FUND
  • ON-GOING COMPLIANCE MONITORING
  • ON-GOING RISK MANAGEMENT OF FUND INVESTMENTS

L&C FOR TRUST MANAGEMENT

  • SET-UP & LICENCING OF TRUST MANAGEMENT COMPANY
  • TRANSACTION MONITORING
  • CLIENTS ON-BOARDING
  • KYC ANALYSIS
  • PERIODIC CLIENTS REVIEW
  • POLICIES & PROCEDURES REVIEW
  • AML AUDIT PREPARATION
  • STAFF COMPLIANCE TRAINING
  • FOLLOW-UP WITH REGULATORS
  • CRS COMPLIANCE
  • FATCA COMPLIANCE
  • LEFIN & LSFIN COMPLIANCE
  • ELECTRONIC NAME CHECKS AND ASSESSMENT

LICENCING

  • SET-UP & LICENCING OF ASSET MANAGEMENT COMPANY
  • SET-UP & LICENCING OF CRYPTOCURRENCY ENTITY
  • SET-UP & LICENCING OF INVESTMENT FUND
  • SET-UP & LICENCING OF TRUST MANAGEMENT COMPANY