Comply with Regulations by Outsourcing to Compliance Professionals

BERCLAZ & PARTNERS

Legal & Compliance

Berclaz & Partners Legal & Compliance is a leading Swiss company specialising in outsourcing and advisory services of the Legal, Compliance & Risk functions as well as the awareness of regulatory requirements.

We are renown for the expertise and efficiency of our consultants, Compliance Risk and Legal Officers, exclusively from the business, passionate, up to date in terms of training, regulatory changes and benefitting from an important network within the Swiss financial sector as well as within supervisory authority. 

Our on-site tailored services are intended for Family Offices, Asset Managers of collective investment schemes, Independent Asset Manager Platforms, Company & Trust service providers and BanksWe cover all requirements in terms of Legal, Compliance and Risk Management. 

    We offer personalised services such as: 

    • Compliance Remediation Action to solve severe & complex open audit points or for entities under FINMA investigation;
    • Compliance & Risks Outsourcing;
    • Legal, Compliance and Risk cost effective support specifically for External Asset Managers and Trustees
    • Complete Management of the FINSA/FINIA Project;
    • Project Management: AML & Compliance Task force solutions to unload operational teams of banking Institutions;
    • International Sanctions & Embargos advisory for banking institutions and trading companies;
    • On-site support for Compliance officers & Trust/ LBA Assistants;
    • Platform & Backup support for fellow Independent Compliance professionals.
    • Compliance Advisory support for Private clients (only upon introduction from a regulated Financial intermediary or a lawyer)

    Our Areas of expertise

    AML Know How & Directives

    International Sanctions & Embargoes

    KYC & Transaction reviews

    Tax Compliance FATCA / CRS

    Consolidated Supervision

    Family Office Swiss Legal Support

    FinIA & FinSA

    Risk Management & Digitalisation

    GDPR

    Market Abuse

    Crypto currency & Blockchain

    Anti Bribery Rules

    Our services

    In line with FINSA & FINIA Swiss regulations, we review your current Compliance and ...

    … Risk organisation whether you are an Independent Asset Manager or part of a platform of Asset Managers; in a Start-up phase, on strong expansion or established.

    • We perform the LEFIN / LSFIN Evaluation – It’s report aims at reviewing the Compliance and Risk organisation of the LBA financial intermediary to detect breaches of applicable legal, regulatory and statutory requirements. Through constructive exchanges on current operations, awareness of regulatory risks and the work of files, the session draws up an inventory that highlights the “action points” Compliance to be undertaken. Unlike an LBA revision or an audit, we have a preventive role. We are specifically looking for potential malfunctions, optimizations to implement or sensitive cases to solve according to best practice (GAI). 

    This assessment also allows us to review the business model and to define the best Risk & Compliance strategy to adopt, according to current or future objectives and challenges, particularly in terms of FINIA / FINSA and if a merger is foreseen…  This diagnosis is valuable and the first phase of your expansion strategy.

    The discussions led during these interventions remain under the seal of the strictest confidentiality.

    • The implementation of the Compliance & Risk strategy of the financial intermediary according to its growth objectives, risk level and the existing organization of the structure
    • A Compliance Service Support according to a cost effective, simple and transparent pricing model allowing to free time off the task, stay in line and get the answers you need to expand the business
    • AML audit preparation with our presence during the intervention
    More than ever it becomes necessary to have by ones sides a Compliance director who...

     … while maintaining an up-to-date view of regulatory requirements, knows your risk-tolerance and your goals of evolution, with whom you collaborate on the long term in the complex choices and which will support you professionally during your interactions with the banks, the auditor and the Authorities.

    We take care of your compliance and manage your risks so that you can focus on your core competence and grow your business.

    We distinguish ourselves and innovate in the definition of this role: We perform on premises as Legal, Compliance & Risk Manager of the Compliance and Risk functions (Governance, Strategy, Organization / Affiliation / Directives / KYC / KYT / Preparation revisions / FATCA / EAR / Reporting / Banking relations and topical Training).

    The scope of the role and the frequency of monthly interventions vary according to the needs of the financial intermediary, the agreed organizational strategy, the level of AML risk, the transactional activity of the clients as well as the development phase.

    Note: We also offer powerful IT software for information automation and continuous data monitoring.

     

    This service is designed by the Financial Intermediary. We take care of any specific and ...

    … fixed term Compliance task (FATCA/ DOJ requests/ International Sanctions / Account reviews etc.) including team supervisions and periodical reporting.

    AML, KYC & other Compliance, Risk & Legal advice on demand...

    …  Use your off-site hour package for questions as you wish and when you wish. This package benefits from a significant preferential price tag. This service is designed for smaller Financial Intermediaries needing specific assistance on punctual occasions by mail or phone for example documentary issues with a depository bank account opening pack, a FATCA request or how to handle a suspicious case.

    We offer on-site intro-office thematic Compliance trainings. We focus on ...

    … delivering practical and useful tips for the daily practitioner and in line with the needs, type and size of the Financial Intermediary.

    We assist the Private Banking customers with the banking documentation, the Compliance related requests of ...

    … the bank and with dormant account research, provided introduction by a Swiss regulated Financial Intermediary.

    We present workshops on different regulations for groups.

    We also prepare Compliance officers for job interviews, in particular in a new challenging field they would like to gain comfort with.

    Meet the Founder

    Michael Berclaz, CEO & Founder, holds both UK & Swiss citizenship (born 1978), Swiss resident, father of 2, holder of a Master in Swiss Law (MLaws) & the CAS in Compliance Management, both delivered by Geneva University as well as several compliance related certificates. He has more than 16 years experience in the Compliance industry.

    Prior to setting up the company, he held Projet Management & Senior Compliance functions to Major Bank Institutions in Switzerland, Monaco, Luxembourg, Portugal and France (Paris) such as Lloyds TSB, ABN Amro, BNP Paribas, Société Générale & EFG Bank. Aged 32 y.o., he successfully held the challenging position of Group Chief Compliance Officer of a Swiss Private bank with international branches for several years. He then focused on managing Compliance & Risk projects he is passionate about: Organisation, Audit Remediation, Sanctions, AML & Tax.

    He has an excellent reputation in the market; speaks fluently English, French and German. Referrals available on request as well as some on LinkedIn.

    “As entrepreneurs, we use Compliance as part of the business growth strategy bringing a competitive advantage, by attributing the budget to the prevention of the real compliance risk, enabling the company to grow the business by focusing on the acquisition of new opportunities”.

    Let’s schedule a phone call or video conference : Here

     

    Our values and collaborations

     

    Integrity, Skills & Humanity are the values ​​that guide us and that we seek in our multiple collaborations and partnerships.

     

    Contact

    Contact us to discuss about adequate solutions for your needs. 

    We communicate in french, english, german, italian and russian.

    Berclaz & Partners Ltd
    Legal & Compliance
    Route de Malagnou 38 A
    CH – 1208 Geneva
    +41 78 710 32 01

    Our contribution to society

     

    Our Journey led us to discover in 2018 the Shere Khan’s Youth Protection NGO founded by Noëlle Alice Demole. This Swiss non-profit organization addresses an unmet need: the funding of education for Indian homeless children, teenagers and young adults. The NGO helps these individuals achieve financial independence by getting an academic degree or a professional training program. With the help of their local partnership, SUEB Group, the association is mainly focusing on the prevention of the young Indian generation from the dangers of a senseless life in the streets where the vulnerability to human trafficking and other criminal activities exists.

    Currently, Shere Khan’s Youth Protection and its team of 6 are helping a total of 68 students that are able to go to universities in Tamil Nadu pursuing many different programs. Their long-term goal is to be able to help a total of 1’000 individuals if they are able to raise enough funds in the upcoming years.

    Each new hour package signed (as well as each renewal) by our clients enables us to donate a percentage of our income to assist this NGO in it’s long terme goals. We thank you for that. 

    To visit their website go to https://www.sherekhansyouthprotection.com
    Follow them on Instagram @sherekhansyouthprotection