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COMPLIANCE & REGULATION

In today's ever-changing and highly complex regulatory environment, it is essential to have a clear overview and a comprehensive compliance strategy. WEPEX, with its many years of experience, is at your side to provide you with the best possible support in implementing regulatory requirements.

 

The financial crisis has led to a continuous tightening of regulatory requirements, e.g. through EMIR, MiFiD II, BCBS239 and the Fundamental Review of the Trading Book. At WEPEX, we work closely with our clients to develop tailored approaches and solutions to help them meet these requirements effectively and minimise compliance risks.

 

In addition, the changing tax landscape, both domestically and internationally, poses significant challenges for market participants. Our team has extensive knowledge in areas such as withholding tax, FATCA, stamp duty and other critical tax issues such as the retention of intercompany profits.

 

Combining industry-leading expertise with a deep understanding of the regulatory and tax landscape, WEPEX provides holistic advice to help your business navigate the maze of compliance and regulation. Our tailored solutions aim to optimise your compliance structures and prepare your organisation for future regulatory challenges.

SELECTED REFERENCES

FINANCE GROUP SPARKASSE:

Implementation of investor protection according to MiFID II / MiFIR

Initial situation

The client was affected by all MiFID II issues due to its client-driven trading business combined with its market-leading position in certificates.

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Challenge

The adjustments required for MiFID II and MiFIR affected almost all capital markets processes and systems along the entire value chain. Implementation had to take place against a backdrop of regulatory uncertainty.

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Solution

Linking the implementation of market infrastructure and investor protection issues. Implementation-oriented technical concept with focus on systems and interfaces. Clarification of regulatory issues through associations and discussions with BaFIN. Ensure timely fulfilment of regulatory requirements.

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