Enforcement
In response to the growing needs of clients, we have set up a specialised interdisciplinary team at SK&S for financial market enforcement proceedings.
Our aim is to continue to support our clients as effectively as possible in enforcement proceedings conducted by various authorities, including Financial Supervision Authority and the local FIU. We support clients at the pre-inspection stage, in the course of inspections, and in shaping defence strategies for sanction proceedings and further appeal proceedings. We also represent clients in investigations.
As part of our support, we provide, among other things:
- reviews of strategies, policies, procedures, and contractual documentation
- gap analyses, compliance audits, inspection simulations (mockups)
- structuring of competences within the organisation
- development of internal inspection procedures and policies
- training in case of inspections and investigations
- consultancy in connection with complaints, supervisory surveys, BION evaluations (pre-assessment consultancy)
- assistance during inspections, hearings, testimonies
- verification of inspection protocols and preparation of objections
- support in implementing post-inspection recommendations
- representation in sanction and appeal proceedings
- representation in investigation proceedings
- representation in criminal proceedings
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