We audit the annual financial statements of credit institutions subject to mandatory audits. The basis for our audit are §26 and §29 KWG as well as all other special regulations (in particular GwG, MaRisk, InstitutsVergV, HGB, RechKredV, etc.). Of particular importance here are the organizational duties pursuant to Section 25a of the KWG, the minimum requirements for risk management. In addition, compliance with the Money Laundering Act plays a major role.

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For financial service providers covered by the German Securities Trading Act (Wertpapierhandelsgesetz), we conduct the audit in accordance with § 89 WpHG. We take into account the reporting requirements according to §36 WpHG and §9 WpHG as well as the rules of conduct according to §31 ff WpHG. The main focus of the audit is the compliance with WpHG, MaComp, WpDVerOV, VermAnlG, regulations and notices of the financial supervisory authority, etc. In addition, capital management companies that provide certain ancillary services are partially subject to the WpHG.

Wir nehmen jährliche und anlassbezogene Prüfungen von Vermittlern von Investmentfondsanteilen sowie geschlossenen Beteiligungen durch. Zu unserem Leistungsspektrum gehört zum einen die Prüfung nach § 24 MaBV sowie nach FinVermV, zum anderen übernehmen wir auch die Funktionsprüfung von Vertriebsgesellschaften.

We support you with the initial application for a permit (in particular business model, business plan, capital requirements), the extension of your permit or the appointment of a (new) manager or the granting of individual power of attorney.

We take over the following for you: compliance function (MaRisk and WpHG compliance), internal audit, fraud prevention (§ 25 KWG), money laundering officer, whistleblower system § 25a Paragraph 1 Sentence 6 No. 3 KWG.

We help financial institutions to set up internal auditing - an important component of risk management. We advise you on how to meet the requirements of banking supervision and the legal framework. We are also happy to support you within the scope of internal auditing with the tasks: Credit auditing, money laundering prevention systems, securities compliance, internal investigations and embezzlement audits in accordance with IDW PS 210.

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