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  • Banks and securities firms

Banks and securities firms

As an audit company licensed by the Swiss Financial Market Supervisory Authority (FINMA) to perform audits of banks and securities firms, we offer the following services:

  • Statutory and regulatory audits of banks and securities firms
  • Financial and regulatory audits of international financial groups
  • Providing advice on issues relating to organisation, risk management and compliance
  • Auditing IT processes and providing advice on them
  • Providing expert and second opinions
  • Consulting and support on regulatory issues
  • Auditing, consulting and performing health checks in connection with qualified intermediary (QI) agreements and FATCA
  • Providing active support in the authorisation process to operate as a bank or securities firms
  • Provision of outsourcing and support services in the area of internal audit
  • Performance of internal audit quality reviews
  • Auditing of special areas falling under anti-money laundering legislation
  • Auditing and assistance with capital market transactions and with CDB 08
  • Consulting on cross-border service transaction issues and on the distribution of financial products
  • Reviewing of public purchase offers, fairness opinions and prospectuses
  • Regulatory & compliance services

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