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
- Sign-in Procedure and Policy