RISK & Compliance
LGG Advisors provides Risk and Compliance services to financial sector firms operating within the EEA.
Service offering is based on the concept of “nearshoring”, either by providing implementation of improved Risk and Compliance processes or by augmenting the client’s headcount for existing processes, ensuring an effective, quality service, underpinned by dedicated and trained staff.
The main legal framework adopted is the Markets in Financial Instruments Directive 2004/39/EC, Markets in Financial Instruments Directive 2014/65/EU (MiFID II) and Markets in Financial Instruments Regulation 600/2014/EU (MiFIR). Guidelines and recommendations for compliance implementation are customized according to the client’s local regulator.
Service offering is based on the concept of “nearshoring”, either by providing implementation of improved Risk and Compliance processes or by augmenting the client’s headcount for existing processes, ensuring an effective, quality service, underpinned by dedicated and trained staff.
The main legal framework adopted is the Markets in Financial Instruments Directive 2004/39/EC, Markets in Financial Instruments Directive 2014/65/EU (MiFID II) and Markets in Financial Instruments Regulation 600/2014/EU (MiFIR). Guidelines and recommendations for compliance implementation are customized according to the client’s local regulator.
Areas of Expertise
MiFID II Regulatory Change
KYC & AML Due Diligence
Static Data Maintenance
Client Outreach Projects
Suitability & Appropriateness
PRODUCT GOVERNANCE
LEADERSHIP TEAM

Clients We Serve
– Investment Banking and Advisory
– PE, VC and other Investment Funds
– Asset & Wealth Management
– Investment Research
– Corporates and Consulting
Investment Banking and Advisory
PE, VC and other Investment Funds
Asset & Wealth ManagementInvestment Research
Corporates and Consulting