Financial Regulation
Compliance for financial institutions, regulatory developments and the design of sectoral strategies and public policies.
We have experts dedicated to conduct exhaustive Analysis of regulatory developments in the financial sector issued by supranational institutions or the EU. Our experience includes the development and the implementation of prudential regulation requirements, especially in the areas of capital, liquidity And governance requirements, as well as recovery and resolution of entities. Likewise, we integrate, together with FinReg360, Afin Compliance, a company specialized in providing solutions to the Compliance departments of financial institutions. In addition, given our experience in advising public administrations and regulatory bodies, we offer support services in the design of regulation and sector policies at a national, regional and local levels.
Nuestras líneas de trabajo
Asesoramiento técnico en regulación financiera
Asesoramiento técnico en regulación financiera
Seguimiento constante de las novedades normativas que afectan al sector financiero y análisis de su impacto, ofreciendo soluciones personalizadas a entidades financieras, empresas de servicios de inversión y compañías cotizadas.
Operaciones societarias y de mercado
Operaciones societarias y de mercado
Apoyo integral en ofertas públicas de adquisición de acciones, salidas a bolsa (tradicional y Easy Access) y emisiones de deuda, incluyendo revisión de documentación y cumplimiento de los requisitos regulatorios en cada fase del proceso.
Constitución y autorización de entidades supervisadas
Constitución y autorización de entidades supervisadas
Asistencia en expedientes de constitución, inscripción y autorización de entidades, coordinando con organismos como la CNMV, el Banco de España o la DGSFP.
Inspecciones, auditorías y defensa técnica
Inspecciones, auditorías y defensa técnica
Acompañamiento en inspecciones y auditorías externas, así como en procedimientos sancionadores ante autoridades competentes, asegurando defensa técnica especializada.
Gobierno corporativo y gestión de riesgos de mercado
Gobierno corporativo y gestión de riesgos de mercado
Asesoramiento en estructuras de gobierno corporativo y gestión de riesgos relacionados con el abuso de mercado, reforzando controles internos y prácticas de cumplimiento.
Born with the vocation of providing services to the departments of cCompliance of financial institutions, AFI-Finreg Compliance Solutions, S.L. (Afin Compliance) is a company comprised of Afi And FinReg.
Afin Compliance Is specialized in providing Solutions to Control Units in an environment where regulatory and regulatory control has tightened for financial institutions. Its mission is to help the departments of compliance to create value and manage risk efficiently by building a Culture of compliance which is essential for the proper functioning of entities, also helping them to Managing Reputational Risk preventing cases of regulatory non-compliance or sanctions.
Afin Compliance's main solutions include:
- Services of outsourcing or support to Regulatory Compliance departments and Risk Control
- Design and construction of Regulatory Compliance and Risk Control departments
- Development and review of internal policies, procedures and manuals Of financial institutions
- Design of compliance plans and Risk Control
- Provision of Resources for staff Regulatory Compliance and Risk Control.
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