The core activity of Rocum Consulting AG is wealth management and optimization for clients, particularly in the areas of Private Banking and Asset Management. The company offers specialized services such as licensing procedures, compliance and risk management, as well as regulatory location determination, to support clients in achieving their financial goals.
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Industry:External Asset Management
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External compliance specialist office, on-site inspections and monitoring tasks, telephone support, bridging staffing shortages through temporary freelancer assignments.
Advisory on VSB and GwG implementation
Support with implementing VSB and GwG requirements, risk classification of customer relationships, transaction monitoring and reporting obligations.
Authorisation and admission procedures
Preparation work and support for the authorisation procedure for a FINMA licence and affiliation with a supervisory organisation in accordance with FINIG/FIDLEG.
Compliance organisation and documentation
Advisory on setting up compliance units, optimisation of processes and control mechanisms, implementation of IT tools, development of directives, regulations and handbooks.
Compliance training and workshops
Conducting training sessions and workshops on compliance matters, complemented by consulting and support in adapting internal organisations.
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