Guidance from seasoned experts

Supporting new financial institutions towards FINMA authorisation, GCG:

• draws a roadmap for the implementation of all financial regulation
• helps drafting proper internal documentation and building adequate processes according to their business models
• handles communication with supervisory organisation and key account manager at FINMA’s level

GCG suggests a modular service offering according to the assessment of needs including:

• Draft of privacy policy and privacy notice
• Management of data security breaches
• Procedure for handling data subject requests
• Employee training

GCG helps financial institutions navigating an ever-increasing and demanding regulatory environment with:

• regular tracker of crucial regulatory sources relevant to the financial sector
• preferential access to subject matter expert resources
• remote assistance (phone or email) on any topic we cover
• curated alerts and analysis as a documentary support provided several times a year according to regulatory changes

In order to maintain FINMA standards once license obtained, GCG:

• updates the documentation in support of the FINMA licence in the first calendar year following authorisation
• prepares the supervisory audit based on representative sampling
• writes a report on the results of the review and recommendations
• supports the implementation of those recommendations

GCG offers training programs tailored to current regulatory requirements and financial institutions’ needs on:

• compliance and AML
• financial services
• market abuse
• sanctions
• FATCA /CRS
• ESG
• data protection

Obtain a LEI with an official UbiSecure RapidLEI registration agent. Be it registration, renewal or transfer from another provider, GCG accompanies you during the whole process.

LEIs are currently required in the USA under Dodd-Frank Act , in the European Union according to the requirements of the EMIR and AIFM directives, and in Switzerland under the Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading Act (FMIA/Finfra G/LIMF) since the 1st of January 2016.

Assistance and monitoring of FATCA requests for banks and trustees:

• Analysis
• Follow-up
• Reporting

Compliance package including:

• Guidelines
• Training
• Self-certification documentation
• Mandatory registration (IRS and/or CRS)
• Reporting

Your company is faced with ever-increasing and demanding national and international regulatory changes. Implementing regulatory projects therefore requires the right skills, not only in the operational, legal & compliance, IT and risk management fields, but also in terms of project management. The aim is to identify opportunities and risks, and to avoid the high cost of inefficient processes. We support and advise you so that your company’s organisation and activities are adapted to the regulatory reality. No more, no less. Support in implementing the requirements of the Data Protection Act or assistance in obtaining your FINMA authorisation are concrete examples of regulatory support. We also offer a regulatory monitoring and assistance service, so that you don’t miss out on any developments that affect your business.

Support package for banks, IAMs and trustees:

• Guidelines
• Training
• Self-certification documentation
• Mandatory registrations (IRS and/or CRS)
• Reporting