IGUV now offers its members another compliance solution.
On the one hand, asset managers can use the online compliance tool 1CHECK, which was specially developed for carrying out compliance and risk management checks, at advantageous conditions.
The two already known variants for the execution of compliance checks are
a) assign an internal employee to do so, orb) an external auditor. Newly IGUV offers its members with
(c) a selection of its own compliance auditors.
The asset manager can find out what this outsourcing costs on the online calculator.
The scope of services is clearly defined from the outset and the conditions are uniform. Invoicing is carried out centrally via INVESTORY.
The appointed compliance officer carries out the internal compliance and risk management audit and performs the audit with the supervisory organization. He is the contact point for all compliance issues in case of external inquiries as well as for audit deferral, scheduling and execution of audits. All work with the compliance tool is performed online.
The compliance officer is evaluated annually by the uVV. To ensure quality, these evaluations are visible in the internal system for the uVV members.prerequisite for the compliance officer is proof of professional activity for at least 5 years, curriculum vitae, criminal record extract, debt enforcement information and approval by the Board of Directors.
Compliance experts who are interested in cooperation, please contact us at the info@ address.