Compliance
General description
Adapting effectively to the constantly changing legal and business environment requires commitment, time, and expertise. Our lawyers have many years of experience implementing corporate governance principles, internal control systems, and compliance management systems in the financial sector. We successfully support our Clients in building or optimizing compliance systems tailored to their operations’ scale, size, and complexity.
We offer our Clients comprehensive legal support in auditing, verifying, and defining the necessary changes to the existing compliance system, which is crucial in mitigating the risk of statutory liability. Proper procedures and principles for recruitment, verification of employee competencies, and organization of the institution, especially a well-functioning compliance system, significantly reduce the risk of non-compliance with applicable law and potential corporate liability. Our compliance services are provided exclusively by Lawarton lawyers and are bound by attorney-client privilege, ensuring the security and confidentiality of the services offered.
Given the significant risk of liability for potential actions by employees, subcontractors, or contractors often taken without the institution’s knowledge, investing in the proper organization and a compliance system becomes necessary.
How can we help you?
Examples of our achievements
Whistleblowing System
We developed a whistleblowing system for reporting irregularities by whistleblowers.
Training for a Commercial Bank
We conducted training on the organization of a compliance management system according to the KNF Recommendation H.
Compliance Policies for a Brokerage House
We drafted compliance management policies, conflict of interest management policies, gift and benefit receiving and giving policies, and irregularity reporting policies.
Audit in a Commercial Bank
We audited a compliance management system according to KNF Recommendation H.
Risk Management Advisory
We advised a commercial bank on compliance and managing liquidity and interest rate risks.
Audit in a Manufacturing Company
We conducted an audit of the compliance management system in a manufacturing company.
Control Model in a Commercial Bank
We provided legal advice on compliance management by building a control model covering all regulations related to software production processes.
