Services

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

MSc at FEP/KU Warsaw. 6+ years of experience in Corporate Finance. Joined LGG Advisors in 2017 and is currently undertaking an EMBA at PBS.

JOÃO MARIARES

Associate Partner and Founding Team Member

CONTACT US