MAP S.Platis provides comprehensive and tailored regulatory support to traditional brokers-dealers to fully comply with their regulatory obligations. Our services span from the setup of a corporate entity and its regulatory licensing as a MiFID Investment Firm to assistance in setting up and initiating operations together with on-going compliance and corporate support.
Specifically, our expert team can provide guidance on reviewing and updating an investment firm’s manuals, assistance in the preparation of an investment firm’s respective reports to CySEC such as monthly prevention statements, risk management, compliance and AML annual reports and other relevant notifications before CySEC.
MAP S.Platis can also help in handling enquiries and communication with CySEC, day to day operational issues and undertake compliance health checks on selected areas such as an investment firm’s best execution policy and procedures, organisational requirements, marketing/sales practices, AML and KYC procedures and assessment of a reliable and compliant appropriateness test. We also locate on behalf of our clients qualified managers and other types of personnel and can provide one-to-one training to staff of an investment firm.
MAP S.Platis can also assist in improving the operation of the Compliance/AML function by assisting to form appropriate monitoring programs and controls taking into account the specific business model and size of the firm.
Furthermore, MAP S.Platis provides advice to investment firms to fully comply with capital adequacy and internal audit requirements. Broker-dealers can also rely on MAP S.Platis’ support in relation to their regulatory transactions reporting (such as EMIR, REMIT, MiFID) and post trade disclosure obligations by delivering best-in-class technology and innovation.
For more information on our services and how we can assist you please feel free to contact us.
