Our team is comprised of professionals with diverse backgrounds that are committed to providing exceptional support to companies that offer Asset and Wealth Management services. We assist in every regulatory aspect that concerns the provision of portfolio management and investment advice services under MiFID requirements. From the licensing of the specific investment service to the day-to-day challenges faced by Asset and Wealth Managers, our firm will spend a considerable amount of time working with every client to meet all regulatory requirements, provide unique solutions and expand its operations in a safe and sound environment. Our services include, among others, the following:
- Preparation and submission of the application file before CySEC in accordance with current regulatory requirements for receiving the relevant license;
- Extension of the license of existing Investment Firmsin relation to portfolio management and investment advice services;
- Design, draft and update manuals, policies, processes and procedures with respect to the operations of portfolio management companies;
- Provide advice and solutions on regulatory compliance queries and issues;
- Provide advice for the ‘assessment of suitability’ test and construct the relevant questionnaire;
- Provide advice for the development and application of investment strategies under regulatory requirements;
- Prepare applications, notifications and other updates to CySECon behalf of the Investment Firm;
- Offer solutions and construct policies to avoid conflicts of interests and succeed in the equal treatment of clients;
- Provide advice for a transparent and non-misleading marketing strategy in accordance with the relevant regulatory requirements, and;
- Provide full legal, accounting and auditing support.
We are also equipped to develop a comprehensive set of solutions for companies that offer financial and tax planning to their clients.
For more information on our services and how we can assist you, please feel free to contact us.