Service

Compliance

Year by year, the volume and complexity of financial legislation increase, which means that the responsibilities and complexity level of the tasks of an in-house compliance function are steadily rising.

Whereas a compliance function previously used to play a minor role in an organisation, the demands on a compliance officer today are practically daunting in terms of the volume of financial legislation. If this task is to be carried out in-house, more resources are required within the organisation.

Instead of in-house resources being allocated to compliance tasks, we can perform the compliance function through outsourcing in whole or in part. Outsourcing will be in the form of a bespoke solution created between Nordic Compliance Services A/S and our client. This involves e.g. sharing observations and knowledge with our client, enabling our client to follow the compliance activities as well as develop in-house knowledge about the compliance situation. This also serves to highlight and enhance in-house management in the organisation.

The Nordic Compliance Services A/S team is made up of specialists, who can switch from one task to the next to ensure the right staffing to fulfil all tasks. The aim is to ensure a high compliance level and to develop our client’s business through a strong and long partnership.

We can tailor solutions to meet your specific needs, which may change over time

Below are illustrations of the range of our services.

Subservices

Regulatory report*

Nordic Compliance Services A/S will draw up quarterly reports outlining regulatory updates of the financial regulation to which your business is subject.

*Option to add a hotline service

Bespoke compliance function - partial outsourcing

You will outsource agreed parts of the compliance function to Nordic Compliance Services A/S, such as ad-hoc compliance, specific tasks such as random checks, KYC procedures, etc.

Full outsourcing of compliance function

The full responsibility for the compliance function will be outsourced to Nordic Compliance Services A/S, including the responsibility for monitoring and evaluating the efficiency of internal controls, ensuring compliance with relevant acts, regulations and internal rules.

More services

Depositary

Nordic Compliance Services A/S has vast experience of the depositary function and, with our dedicated team of compliance officers, we can ensure that your fund complies with its depositary obligations ...

Corporate Services

Nordic Compliance Services A/S performs the corporate services for Danish entities of foreign limited liability companies.

Agent

We can act as an agent for bondholders, enforcing bondholders’ claims against the issuer, instituting legal proceedings, representing bondholders in any bankruptcy proceedings, etc.