Compilance and audits

The foundation of the Client’s stable position and reputation in the market is the compliance of its business activities with the law, internal regulations and ethical standards (compliance).

The Firm’s activities are aimed at minimizing the risk of the Client incurring legal, administrative or disciplinary sanctions, financial losses or loss of reputation, which may arise as a result of the Client’s failure to comply with legal requirements, internal regulations or accepted principles of good practice.


Compliance includes, among others:

  • development of a compliance policy,
  • managing the risk of non-compliance,
  • providing opinions on draft internal regulations, marketing and information materials directed to consumers in terms of their compliance with the law, internal regulations, recommendations of supervisory institutions, accepted standards of conduct and ethical standards,
  • monitoring of prohibited contractual clauses,
  • audits in the field of personal data protection,
  • development and implementation of regulations in the field of anti-money laundering and financing of terrorism,
  • advising on the process of handling complaints submitted by consumers to the Financial Supervisory Commission, consumer ombudsmen and other institutions and industry organizations,
  • Providing training on compliance and ethical principles and standards of conduct, etc.