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CONTEXT

Over the years, Luxembourg has established itself as the European center for private and institutional asset management through banking players (private banks and custodian banks) but also through asset managers and management companies that manage, distribute and administer funds. This unique character makes the market an essential consumer of operational resources in charge of providing more financial security, compliance and investor protection.

The original intuition of FINEGAN EXPERTISES is to provide an operational service to respond to the emergency of the regulator to comply with the laws, and then to implement the entire regulatory framework required by the CSSF and the European authorities by providing experienced teams of lawyers, conducting officers, MLROs and also operational support teams capable of assisting an asset management company upon request.

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OUR VISION

  • Encompass all current and future regulatory expectations to implement them in your organization
  • Adapting our best practices to be efficient and ensure you the minimum protection
  • Provide pragmatic, plug and play skills

Finegan Group

KEY
FIGURES

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clients assisted over the past 11 years of very diverse sizes (international bank, four-person PSF)

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missions completed this year (2021)

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consultants dedicated to management and organization consulting

Compliance Delegation

OUR TEAM

The Compliance Delegation team is made up of former professionals from the Luxembourg financial sector. Compliance officer, MLRO, Conducting Officer Compliance, internal auditor, all of them have spent several years as employees of financial structures exercising responsibilities that have obliged them to act with the authorities of the Grand Duché and give them excellent know-how. The team has developed a recognized expertise in the audit, analysis and deployment of anti-money laundering standards.
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Management Company (International)
Delegation of the role of Conducting Officer Compliance.
  • Context : In the context of an extinction of the activity, cleaning of the assets, response to the regulator, verification of the respect of the body of rules.
  • Our mission : Framing and delegation after appointment to the CSSF.
  • Our added value : a CCO with 20 years of experience listening to all shareholders to adapt the delegation to the context and ensure compliance with the essential.
INTERNATIONAL FINTECH DEPENDENT ON AN INSURANCE PLAYER
Process audit.
  • Context: Within the framework of the acquisition of a FinTech by a group of the insurance sector, realization of an audit of all the processes on the value chains of administrative distinction and management of the insurance products.
  • Our intervention: Framing, mapping, detailed description and testing of processes.
  • Differentiating factor: provision of a mixed team (an audit specialist and an insurance specialist).
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Legal and Regulatory

OUR TEAM

Our legal team supports legal departments in analyzing the impact of European regulations such as GDPR, outsourcing or the evolution of the regulatory framework on the company’s own range of rules and protection.
Composed of former lawyers, the team provides constant and renewed support to the Chief Legal Officers in the interpretation of texts, in making deals with third parties, or the adjustment of the range of rules, policies and procedures.
A dedicated team also provides a recurring Corporate Secretary service directly to the Management Company in the documentation, collection, organization of boards and their timing.


OUR SUPPORT

  • Analyze, discuss, draft and negotiate new contractual terms in the context of regulatory changes
  • Produce, update new regulatory standards
  • Provide experience of former CoSec for business management.

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Universal bank (Europe)

Deployment of RGPD and EBA Guidelines Sourcing in all the bank's contracts.

  • Context: Impact analysis of the regulations on the existing outsourcing contracts of the bank.
  • Our intervention: apprehension and approval of all the bank's contracts, drafting of the gap analysis, deployment of a negotiation strategy and drafting of new contracts with suppliers including the regulatory obligations.
  • Our added value: provision of an international team acting both on regulatory monitoring and on the concretization of contractual relations.
Management Company (Europe)

Corporate Secretary for a portfolio of 40 investment funds.

  • Context: As part of a reinforcement of the team, provision of consultants specialized in CoSec.
  • Our intervention: document collection, organization of the boards, drafting of the minutes and provision of all the services related to the corporate life.
  • Our added value: proposal of actions and remediation to optimize the existing CoSec processes.
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OPERATIONS and SERVICES

OUR TEAM

Our OPERATIONS AND SERVICES team provides trained and seasoned personnel for the production of structured remediation plans, for the replacement of personnel in charge of investor onboarding and investor protection within the framework of the deployment of Market Abuse and Mifid regulations.

The teams have developed strong skills in adapting to the requirements of our clients in order to make the best use of their policies and procedures in carrying out AML-KYC and AML-KYT activities.


OUR SUPPORT

  • Deploy teams of 1-15 people to cover massive investor remediation or onboarding plans ;
  • Provide a wide range of regulatory-based operational services.
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Retail Banking (International)
Deployment of 24 consultants for a cross-border KYC and KYT remediation plan.
  • Context: Within the framework of the transfer of the banking activity, the cleaning of the portfolio requires consultants for a temporary period of 6 months in order to collect the documents necessary for an update of the KYC and transactional.
  • Our intervention: Project framing and reporting according to intense production KPIs, onboarding consultants, training, managing turnover on the mission without constraining production.
  • Our added value: The speed and ramp-up of the consultants (made available in 15 days).
Retail Banking (International)
Cleaning and Monitoring of Mifid client files.
  • Context: Following an injunction letter from the CSSF on investor protection and Mifid laws, review of the entire portfolio.
  • Our intervention: Deployment of 4 consultants to analyze, suggest adjustments to the bank's regulatory framework, then deploy remediation.
  • Our added value: An operational team aware of the regulatory impacts.
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OUR EXPERTS

Consultants, Managers, Directors, our experts are available to answer your questions and provide you with details on your subjects: contact them !

Moufida Leckie, directeur finegan services

Moufida Leckie

Director

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Freddy Almeida-Branco, Customer Relationship Manager Finegan services

Freddy Almeida-Branco

Customer Relationship Manager

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  • 29 Avenue de Monterrey, 2963 Luxembourg
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