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 (enforcement).
Our aim is to continue to support clients as effectively as possible in enforcement processes by the administrative authorities, including the FSA and the GIIF. We support clients at the pre-inspection stage, in the course of inspections, and in the preparation and implementation of defence strategies for penalty 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, control simulations
- structuring of competences within the organisation
- development of control procedures
- 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 audit protocols and preparation of objections
- support in implementing post-inspection recommendations
- representation in penalty and appeal proceedings
- representation in investigation proceedings
- representation in criminal proceedings
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