Compliance & Due Diligence
As a licensed audit firm in Liechtenstein, we support financial intermediaries in complying with their statutory obligations under the Due Diligence Act (DDA), the Due Diligence Ordinance (DDO), and the regulatory requirements of the Financial Market Authority Liechtenstein (FMA). We act as an independent partner to trust companies, asset managers and other financial intermediaries, providing efficient and confidential services backed by an in-depth understanding of regulatory developments.
Our Compliance & Due Diligence Services
Compliance Consulting
- Establishment and review of compliance management systems
- Support in the implementation of FMA guidelines and sector-specific directives
- Creation, review, and updating of internal control mechanisms
- Preparation for FMA audits and support with regulatory communication
- Assumption of the role of due diligence officer and investigator
Due Diligence Audits under the DDA and DDO
- Review of compliance with statutory due diligence obligations
- Monitoring of internal anti-money laundering directives and processes
- Review of client files, transactions, and source of funds
- Support with suspicious transaction reports and communication with the Liechtenstein Financial Institutions Office
- Conducting sample checks and risk-based audits
Training and Awareness
- Conducting practical training for board members, executive management, and employees
- Individual workshops on current regulatory topics (DDA, FATF, EU requirements)
- Raising awareness of sanctions lists, PEPs, and international tax transparency