Compliance Support is a type of supervisory support individually tailored and addressed to Clients who conduct a regulated activity.
Each of our Compliance specialists has practical, extensive experience gained while working as a Compliance Officer or supervision inspector at banks, brokerage houses and investment fund companies.
Among the members of our team, there are also former employees of the Polish Financial Supervision Authority.
Compliance Support:
As for entities at an early stage of development, it helps ensure that the key functions are implemented. All it takes is just a few hours’remote support a month.
As for institutions at a robust development stage, the scale of the support can be flexibly increased. It can shift seamlessly from remote support to the presence of CP specialists in the Client’s organisation.
An important portion of the tasks as part of the service is to prepare the Client’s internal team to perform the Compliance function.
Compliance Support also covers support for institutions outside the financial sector. In such cases, the experience CP has in the field of financial Compliance is a valuable reference to determine the Client’s own Compliance system, to be tailored to the specifics of a non-financial industry.
We provide practical support in the protection of personal data. The assistance is provided by experienced CP specialists – personal data protection inspectors with many years of professional practice.
CP experts also work as permanent or temporary personal data protection inspectors. They carry out audits to check compliance with the GDPR. They further offer ongoing advice related to ensuring compliance of the institution’s activity with the personal data protection provisions.
We also offer support limited to occasional consultation – where expertise and experience are indispensable.
Where necessary, we combine our competencies with IT specialists. By cooperating with Lemlock (www.lemlock.pl), we make sure that the way systems and applications work complies with the GDPR, also through audits and safety tests. Lemlock’s support allows CP to provide comprehensive support in terms of a company’s operational compliance with the GDPR.
We are specialists in the field of anti-money laundering and combating the financing of terrorism, and we have practical experience gained while working for financial institutions. We create, implement and assess AML/CFT solutions in FinTech entities and in traditional institutions in the financial sector – banks, brokerage houses, investment fund companies and insurance companies.
We support clients during inspections carried out by the Polish Financial Supervision Authority (KNF) or the General Inspector of Financial Information (GIFI), and we represent them in administrative proceedings related to any infringements found.
Our competence in the field of AML/CFT also covers compliance audits and trainings.
Our specialists are auditors working in financial institutions and businesses, responsible for preparing and implementing audit plans, which they execute independently as fully-fledged internal auditors.
A flexible cooperation formula allows Clients to take advantage of our knowledge and skills to the extent necessary at a specific stage of the organisation’s development, from support limited to individual audits to complete outsourcing, including that notified to the Polish Financial Supervision Authority – where justified.
Compliance Partners provides unique support services to financial institutions within the risk management area.
In particular, we help brokerage houses and investment fund companies comply with their regulatory obligations related to the risk faced by their business.
We advise on the creation of risk management systems, their ongoing maintenance and periodic adaptation to changes in the business and regulatory environment. We support our Clients throughout the internal audit processes and in connection with ensuring compliance with the reporting obligations and duties related to the supervisory review and assessment.
We also implement ad-hoc risk analysis projects following changes in the business or external situation (introducing new products and services, significant internal changes).
We are specialists in international mergers and acquisitions. In recent years, we have participated in numerous international projects of sale of Polish manufacturing companies, IT companies, transport or distribution companies, sold to foreign investors and entities who consolidate the specific markets. We work for international companies that pursue a strategy of growth through acquisitions. We also work with the owners of Polish companies who intend to sell them to industry or financial investors.
We provide our Clients with full transaction advice – from developing a transaction concept and identifying potential investors to managing the transaction process and providing advice at a post-transaction stage.
The range of our services as part of the M&A projects includes in particular:
modelling and structuring of transactions,
identification of potential investors or acquisition targets,
conducting due diligence or providing due diligence-related support,
negotiating terms of transaction and the transaction documentation,
As our advisers gained unique experience while working for financial institutions in Luxembourg, we are able to provide comprehensive support in creating and maintaining investment funds and corporate structures, such as SCSp (société en commandite spéciale) or s. à r.l. (société à responsabilité limitée), operating in the Grand Duchy of Luxembourg. Our activities include in particular:
service related to the establishment of a Luxembourg structure, including support in starting cooperation with Luxembourg entities needed for the structure to operate;
comprehensive cooperation with advisers and actors involved in the creation and operation of the structure – coordinating activities between the actors involved in the companies’ activities, ensuring ongoing corporate service, ensuring correct circulation of information and documents, and staying in contact with entities responsible for the smooth operation of the structure;
supervision over actions undertaken by entities responsible for operating the structure in Luxembourg.
We provide both face-to-face and online trainings. We offer classroom trainings in workshop form. Our remote trainings are held in a form of webinars hosted through ClickMeeting.
For our Clients, we also prepare trainings available as e-learning. We can deliver them as source files in the most popular market formats (SCORM 1.2 and 2004, Tin Can Api, AICC, as well as in an older format – Flash, or as files relying completely on HTML5). They are ready for upload to the internal e-learning system (LMS – Learning Management System). Clients without their own LMS can use a platform provided by us. There, we create accounts individually assigned to each attendee – for the purposes of a single training or to handle the training process on an ongoing basis.
Our most popular training available as e-learning is “Anti-Money Laundering and Combating the Financing of Terrorism” – a training addressed to employees of financial institutions, and “Protection of Personal Data”. We always adapt trainings to the needs of the Client, taking account of their internal regulations and the specifics of their industry.
Management buyout (MBO) means purchasing a company through its buyout by managers.
The supporting entity for this process may be an equity partner who provides the necessary financial resources. In particular, it may be an investment bank or a private equity fund.
We provided our services to then-owners or shareholders who offered managers their controlling interest. We have also served managers willing to participate in MBOs.
The range of our services as part of MBO processes includes in particular:
development of a transaction diagram and a detailed schedule,
preparation of a buyout strategy and the financial projections for planned operations,
valuation of the company,
carrying out the procedure to acquire external financing,
Family businesses are the driving force of economic growth in almost every country. Proper succession planning is necessary to ensure appropriate conditions for further growth of business.
As part of the succession planning process:
we advise in developing a transaction diagram, including with the use of special legal structures (such as, e.g., a family foundation),
we prepare financial and legal documentation for generations to come,
we make sure that successors have an option to exit the investment in the event of sale,
we develop a strategy for the company’s development,
we ensure adequate rights to the company founders.
