Tema is inspired by the principle "no surprise", according to an ongoing support and assistance approach on Anglo-Saxon matrix compliance profiles.

Compliance activities (compliance) have the following purpose:

  • identify on a continuous basis the rules applicable to the activities carried out by the intermediary (banking, financial, insurance, pension fund), providing prompt and adequate information to the company structure;
  • assessing the impact of the reference legislation on the company's systems and processes (e.g. AIFMD and UCITS V, MIFID2, GDPR remuneration and incentive policies); for example, the implementation of Product Governance models pursuant to MIFID2 or Product Oversight and Governance models pursuant to IDD;
  • provide continuous advice and assistance;
  • to monitor and evaluate, through the adoption of a compliance map, the adequacy and effectiveness of the procedures adopted;
  • propose organisational and procedural changes;
  • to feed and manage the register of conflicts of interest.
  • validate policies and procedures ex ante before they are approved by the Board of Directors.
  • support CFOs in drawing up the individual plans required by the Remuneration and Incentive Policies.
  • preparing and monitoring the remediation plans required by the Supervisory Authorities.
  • carry out assessments to verify the controls on governance and control of the risks of non-compliance
  • Regulatory update
  • Compliance test
  • Opinion
  • Sign-in Procedure and Policy
  • Training
  • GDPR
  • IDD
  • MIFID2