SORGFALT.LI

What we offer

REGULATIONS

The term REGULATIONS covers a fairly broad area. On the one hand, it refers to internal directives (duty of care directives, organisational handbook, etc.), but also to internal organisation. Internal organisation encompasses the entire management of processes and procedures for compliance with industry-specific regulations. In particular, this includes compliance with various legal provisions relating to financial market supervision (FMA) reporting, further education and training measures, AIA/FATCA reporting, sanctions law including ISG reports, and reports of suspected money laundering to the Financial Intelligence Unit (FIU).

We can support you in all these areas.

What we offer

COMPLIANCE

We work with you to evaluate your needs and tailor the scope of our services to the specific requirements of your company. The options available include the following areas

Assumption of the duties of the due diligence officer Compliance as a service – assumption of mandate-related compliance activities (transaction control, creation and approval of SPG forms, approval and review of risk and business profiles, ongoing monitoring via WorldCheck & AdverseMedia)

What we offer

ACTION PLAN

The regulatory environment is changing so rapidly and involves so many ongoing obligations and deadlines that it is extremely challenging to keep track of all deadlines and tasks alongside day-to-day business. This is where we come in and support you with our Regulatory Cockpit. We help you manage all deadlines and, if necessary, also provide active support in dealing with individual issues.

It is also important to plan and document internal audits and priorities, and to plan and organise annual training programmes. We are happy to assist with this and also offer individual training courses. 

What we offer

REVIEW

Assumption of functions as investigation officer and internal auditor. This provides a transparent and efficient review and gives decision-makers an objective overview of the status of the organisation as well as any risks and opportunities for improvement. 

What we offer

CRM – Customer-Relationship-Management Software

An IT environment tailored to your company, including a company management tool and electronic file management, increases efficiency and helps prevent errors. Company management software supports you in fulfilling your SPG obligations (automated forms, risk and business profiles, automated FMA reporting and system-supported AIA/FATCA reporting). We analyse your company's needs, evaluate solutions for you and support the implementation of such systems. We are also happy to train your employees, introduce workflows with these systems and, if required, provide support with data entry.

The new Anti-Money Laundering (AML) regulations, which will completely replace the previous SPG regulations in Liechtenstein in the summer of 2027, require financial market participants to use audit-proof company management software (CRM). 

What we offer

Resilience - Risk management

Resilience refers to the systemic resistance of companies to disruptions. We support you in conducting the annual Business Risk Assessment (BRA) and also take on risk management, including the role of risk manager and the annual reporting required by law.