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Support for regulatory on-site inspection
Are you ready for the regulator?
On-site regulator inspections are increasing in frequency
In recent years, investment fund managers and specialized professionals of the finance sector (PFS) have seen an exponential increase in the number of on-site inspections conducted by the Grand Duchy of Luxembourg’s regulatory authorities. As non-compliance could result in penalties, fines and reputational risk, there is increasing pressure on market players to stay abreast of regulatory developments and market practices.
Deloitte’s bespoke support for regulatory on-site inspections can keep you compliant
We can help you perform a high-level review of your current organizational and operational set up, internal governance, and information technology based on Luxembourg’s regulatory requirements and best market practices. With our extensive regulatory expertise and market intelligence, we’ll help you determine potential gaps and areas where you can improve.
Respond to regulatory gaps with a remediation plan
Depending on the results of your regulatory gap analysis, we can offer a remediation plan that will help you:
- Establish a risk-based, on-site due diligence framework;
- Design a risk-based compliance monitoring plan; and/or
- Update policies and procedures.
Want even more confidence when you face an on-site inspection?
Deloitte can help you be ready. Before the regulator’s visit, we will help you prepare your company presentation and organize workshops with the conducting officer— so you can be equipped for discussions with the regulator.
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Support for regulatory on-site governance inspection
We provide a tailormade support before a regulator’s on-site inspection, so you can feel well-prepared. Our service offering covers the following areas:
- Internal governance & central administration
- Control functions (compliance, risk management, internal audit)
- Oversight of delegates
- Portfolio management
- AML/ CFT
- Marketing & distribution
- Finance, accounting & asset valuation
- Remuneration policy
- Operational & AML tax
- ESG
We will customize our support to meet the individual needs of your organization.
Support for regulatory on-site IT inspection
With the Digital Operational Resilience Act (DORA) coming into force, the importance of a robust Risk and Control framework for your information communications technology (ICT) has never been greater. The impact of information technology risks and threats affects not only your operations, but also your strategy, reputation, and finances.
We help you prepare for the regulatory authorities’ on-site IT inspections, and customize the support to meet the individual needs of your organization.
Our service offering includes:
- IT strategy and governance
- ICT risk management
- ICT resilience
- IT outsourcing and cloud computing
- ICT crisis and incident response
- Information security
- ICT operations management
- ICT project and change management
- Teleworking
For more information, have a look at our flyer “Support for regulatory on-site IT inspection” and get in touch with our experts.
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