Operational Tax & Compliance Specialists

Compliance and Reporting Simplified

Your specialist in QI, FATCA, CRS/CARF, SEC and AML/Risk Management.

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Integrated service model

Four Services. One Operating Model.

Use targeted support or a fully managed model to reduce regulatory risk, strengthen controls, and free internal capacity.

Advisory

Our advisory department provides expert guidance and consultation to our clients on a range of mainly U.S. and Swiss/Liechtenstein regulations. Our team of seasoned professionals helps navigating complex tax laws and regulations to ensure compliance with the regulatory requirements.

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Assurance

Our assurance team specializes in performing audit, review and health checks. We perform QI periodic reviews and other types of reviews to assess the accuracy and completeness of account holder documentation, to identify potential issues, and to ensure compliance with the regulatory requirements.

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Compliance and Risk Management

Our compliance services range from fully outsourcing the compliance function to providing specialist support in certain circumstances. More specific is our Operational Tax Compliance Service which only delegates specific tax controls and functions that the compliance department is facing to us. By using our compliance services, you can mitigate many regulatory risks and ensure that you are operating in full compliance with applicable regulations.

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Reporting

Hundreds of financial institutions entrust our reporting department with their U.S. tax, international tax and regulatory tax reporting obligations. QIs and WPs/WTs delegate not only the formal reporting, but also the preceding reconciliation requirements to us. Many FFIs (FATCA) and FIs (CRS) rely on our data preparation, encryption and submittal services. If there is a need for a substitute tax statement or form, we are happy to help.

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Trusted by Financial Institutions

Who We Support

Over 90% of our clients are financial institutions, including banks, trustees, family offices, foundations, partnerships, tax-exempt organizations, and investment managers.

Banks Trustees Family Offices Asset Managers RIAs

Operational Tax for Financial Institutions

We have extended expertise and provide fully integrated compliance and outsourcing services in the following Operational Tax Regimes:

  • The Qualified Intermediary (QI) Regime
  • The Foreign Account Tax Compliance Act (FATCA), including the handling of FATCA Group Requests (Switzerland)
  • The OECD Common Reporting Standard (CRS), including the upcoming Crypto Asset Reporting Framework (CARF)

Specific U.S. Regulations

We support clients when they are in scope of U.S. regulations outside of the tax realm:

  • Securities and Exchange Commission (SEC) regulations, especially providing compliance services to SEC registered investment advisors
  • The reporting requirements of the Commodity Futures Trading Commission (CFTC)
  • Questions related to U.S. Estate Tax Laws

Know Your Customer Compliance

We provide support and contracting services in other compliance areas:

  • Swiss and Liechtenstein Anti-Money Laundering (AML) Regulations by even assuming Chief Compliance Officer roles
  • Sanctions Screening and Know Your Customer rules
  • Swiss and U.S. Investor Protection Regulations