LIECHTENSTEIN Financial Institutions Rely on Independent Audit and Compliance Expertise
A Leader in Auditing and Compliance Services
In the robust financial sector of LIECHTENSTEIN, banks, fund managers, and insurers rely heavily on a trusted audit firm to ensure compliance with complex regulations and maintain credibility with stakeholders. This firm has established itself as a leader in providing independent and objective audit services, leveraging its deep understanding of the unique challenges facing LIECHTENSTEIN’s financial sector.
Expertise Spanning Key Areas
The firm offers a range of audit services tailored to the specific needs of LIECHTENSTEIN’s financial institutions, including:
- Banking and Stock Exchange Auditing: Comprehensive audits for banks and stock exchange institutions
- Auditing Fund Management Companies, Asset Managers, and Pension Schemes: Expertise in auditing fund management companies, asset managers, and pension schemes
- Auditing Collective Capital Investments and Investment Funds: In-depth audits of collective capital investments and investment funds
- Regulatory Audit under the Payment Services Act and the E-Money Act (FL): Audits to ensure compliance with payment services and e-money regulations
- Initial Inspections for Applications Submitted to FINMA: Expert guidance on initial inspections for applications submitted to FINMA
Additional Regulatory Tasks and Advisory Services
In addition to audit services, the firm also provides regulatory tasks as a consultant and expert, including:
- Guidance on Guarantee Issues, Product Distribution, Outsourcing, Banking Secrecy/Data Protection, Statutory Reporting Obligations: Expert advice on various regulatory matters
- Cross-Border Governance, Qualified Intermediary Regulations (QI), the Foreign Account Tax Compliance Act (FATCA): Guidance on international tax regulations and reporting requirements
- Combatting Money Laundering: Expertise in anti-money laundering regulations and compliance
Assessment of Internal Control Systems (ICS)
The firm’s advisory services also include assessment of internal sets of rules such as:
- Regulations, Directives, Contracts, Account-Opening Documents: Evaluation of internal policies and procedures
- Risk Management and Internal Control Systems (ICS): Expert assessment of risk management and ICS
Licenses to Operate in Key Areas
The firm has earned its licenses to operate in key areas, including:
- State-Supervised Audit Enterprise
- License to Audit Banks and Securities Dealers
- License to Audit Fund Managers and Asset Managers
- Auditor of Investment Funds
- Auditing in the Area of Money Laundering
- Auditor of Occupational Pension Schemes
- Auditor of Insurance Companies (FL)
Expert Guidance for LIECHTENSTEIN’s Financial Institutions
By choosing this firm for their audit and compliance needs, LIECHTENSTEIN’s financial institutions can be confident that they are receiving expert guidance to maintain their credibility and trustworthiness.