REGULATION AND COMPLIANCE

In cooperation with our network partners, we are among the qualified Liechtenstein service providers in the field of regulation and compliance.

Based on many years of experience and competence, FS+P supports its clients in mastering and complying with the legal provisions. Our range of services covers all aspects of the regulated financial services and all questions involving supervision in Liechtenstein and Switzerland.

We advise and support private individuals, businesses, and other clients with our comprehensive range of services specified in more detail below.

Other services

Contact us.

REGULATION AND COMPLIANCE SERVICES

 

Our range of services includes:

 

  • Advice on the fundamentals of regulation and supervision
  • Advice and assistance in obtaining licenses and authorisations for financial service providers
  • Advice on reporting, disclosure, recovery and resolution, market abuse, EU anti-money laundering directives, the Markets in Financial Instruments Directive (MiFID), the Markets in Financial Instruments Regulation (MiFIR), and dealing with risks in the provision of services to persons abroad (cross-border risks)
  • Advice on the Foreign Account Tax Compliance Act (FATCA) and automatic exchange of information (AEOI)
  • Advice on data protection, the General Data Protection Regulation (GDPR), protection of privacy, right of self-determination, information requirements, and rights of data subjects
  • Performance of internal due diligence inspections, advice and support in preparing for external due diligence inspections
  • Ensuring the complete and timely submission of documents to the Financial Market Authority Liechtenstein and verification of their content (reporting; e-Service)
  • Support in setting up or optimising the right risk and compliance organisation
  • Support and assistance in the settlement of foreign financial service providers in Liechtenstein
  • Project management and crisis management
  • Basic and continuing training in the regulated financial services sector and questions of supervisory law

LIAISON

We support you in mastering and complying with the legal provisions and can serve as your liaison for institutions such as the following:

  • Banks
  • E-money institutions
  • Payment institutions
  • Insurance undertakings
  • Insurance intermediaries
  • Pension schemes
  • Pension funds
  • Management companies and UCITS under the UCITS Act
  • Alternative investment fund managers under the AIFM Act
  • Asset management and asset management companies
  • Professional trustees and trust companies
  • Auditors and audit firms
  • Persons under the 180a Act
  • Patent lawyers and patent law firms
  • Persons subject to due diligence

FS+P is a fully licensed trust company supervised by the Financial Market Authority Liechtenstein. FS+P is also an active member of the Liechtenstein Institute of Professional Trustees and Fiduciaries and bound by its Rules of Conduct.