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RISK & COMPLIANCE

LGG Advisors provides Risk and Compliance services to financial sector firms operating within the EEA. Service offering is based on the concept of “nearshoring”, either by providing implementation of improved Risk and Compliance processes or by augmenting the client’s headcount for existing processes, ensuring an effective, quality service, underpinned by dedicated and trained staff

The main legal framework adopted is the Markets in Financial Instruments Directive 2004/39/EC, Markets in Financial Instruments Directive 2014/65/EU (MiFID II) and Markets in Financial Instruments Regulation 600/2014/EU (MiFIR). Guidelines and recommendations for compliance implementation are customized according to the client’s local regulator


AREAS OF EXPERTISE

 
  • MiFID II Regulatory Change

  • KYC & AML Due Diligence

  • Static Data Maintenance

  • Client Outreach Projects

  • Suitability & Appropriateness

  • Product Governance

 

CLIENTS WE SERVE

 
  • MiFID II Regulatory Change

  • Static Data Maintenance

  • Suitability & Appropriateness

  • KYC & AML Due Diligence

  • Client Outreach Projects

  • Product Governance

 

“The increasing weight of new regulatory legislation from regulators, coupled with the increasingly diverse risks to which firms are exposed, means that firms need to ensure that no risks fall between the cracks”
— Stacey English and Susannah Hammond, Thomson Reuters