Investment intermediaries offering and providing investment services pursuant to the Act No. 256/2004 Coll., on Capital Market Undertakings (“CMA”), or possibly distribute pension and supplementary pension savings under the Act No. 426/2011 Coll., on Pension Savings (“PS”) and Act No. 427/2011 Coll., on Supplementary Pension Savings (“DPS”) are required to ensure the continuous conduct of internal control - compliance in the company.
COMPLY offers investment intermediaries all types of external compliance services, which include the following activities:
- Creation and continuous revision of internal regulations of investment intermediaries (ensuring compliance with the legal regulations and opinions of ČNB)
- Creation and continuous updating of client documentation (mandatory information / investment questionnaire / minutes of the meetings) of an investment intermediary for the proper provision of investment services or the distribution of pension and supplementary pension savings
- Continuous internal control of compliance with legal obligations when providing investment services and the distribution of pension and supplementary pension savings and the management of control systems of an investment intermediary
- Training of employees and cooperating authorized representatives
- Coordination of communication with the ČNB (requests, state control, registration procedures, etc.)
- Coordination of complaints and investment intermediary clients’ claims
- Coordination of interventions by securities brokers, investment and pension companies
- Participation in the settlement of disputes by the Financial Arbiter
- Consultation and advice to investment intermediary employees
- Communicating legislative changes relevant to the activity of an investment intermediary
Communication with the compliance department of a cooperating securities broker, bank, investment firm, or a pension company
COMPLY zajistí vstupní regulatorní audit investičního zprostředkovatele. Jeho předmětem bude kontrola plnění všech zákonných povinností a předpokladů investičního zprostředkovatele. Výstupem z auditu je závěrečná zpráva obsahující přehled zjistěných nedostatků v činnosti investičního zprostředkovatele a doporučení vhodných opatření k nápravě.
Are you concerned about the inspection from ČNB?
COMPLY has extensive experience with conducting ČNB state inspections at insurance intermediaries. In case you want to take advantage of our experience and eliminate potential risks for your company for failure to comply with legal obligations, please, do not hesitate to contact us. We will inspect and prepare documents required by the ČNB, prepare your staff for an on-site inspection and arrange all other necessities for a quick and uncomplicated control procedure.