Investment Service Companies
- Applications on creation of investment service companies and registration with National Commission on Markets and Competition (CNMV)
- Advice on compliance with stock market regulation
- Advice on the periodic reporting obligations with the CNMV
- Advice on the internal organization requirements
- Guidance and advice for units responsible for compliance, risk management and internal audit
- Guidance and advice for units responsible for client relationships and management of conflict of interests
- Advice on the provision of services outside Spain
- Advice on money laundering regulations and compliance with the Central Bank of Spain and anti-money laundering (SEPBLAC) regulations