Financial Regulation and Advisory

The Company’s Financial and Compliance Services aim to provide to financial services entities, services that will enable them to use the strength of their organisations (valuations / projections), complete business deals (feasibility studies, valuation of target companies), ensuring that they are in compliance with specific legislation within the sector of operation, assess and manage risk and adopt any changes in legislation.

Corporate Finance

Treppides Advisers Ltd assists the management of a company:

  • with the preparation of reports on the valuation of the company
  • in the valuation of other financial instruments or assets of a company
  • in the valuation of target companies in cases of investments or takeovers.

Due Diligence Services

Assistance is provided to the management of a company  in transactional services and during the preparation of due diligence reports, which are tailored to clients’ specific needs and tasks.

Internal Audit / Health Check Services

Treppides Advisers Ltd has a broad experience in offering Internal Audit / Health Check services for the majority of industry sectors. Internal Audit / Health Check Services include:

  • the exercise of special investigations on detection of fraud inclusive of forensic
  • corporate governance  compliance services
  • the preparation and documentation of internal procedures and processes in accordance with client needs and in accordance with regulatory bodies’ requirements
  • the design and implementation of internal audit / health check programs
  • the preparation of internal audit / health check reports for management use and for company internal audit committees.

The Company’s financial services and compliance staff members are is accredited by the FCA and the Cyprus Securities and Exchange Committee (CySEC), enabling the Company to be appointed as internal auditor for MiFID Investment Firm licenced to operate as financial services companies within the EEA.

Authorizations for Financial Services Licences

We provide assistance with following:

  • in applying to obtain a licence from the Financial Conduct Authority (FCA) and preparing the internal operating procedures that will comply with applicable legislation
  • in implementing procedures in compliance with the laws and regulations
  • in drafting the business plan
  • in assisting with the structural optimization of the applicant group.

Consulting / Controlled Functions Services

We provide the following consulting:

  • compliance consulting services to Investment Firms regulated by the FCA
  • CF10, CF10A and CF11 Controlled Functions to Investment Firms regulated by the FCA
  • consultation on FCA regulations ad hoc and on retainer
  • consultation on FATCA

Risk Management Services 

Over the years, risk has gained regulatory momentum and as a result K. Treppides & Co Ltd, a leading service provider in Cyprus, is among the first providers to offer dedicated Risk Management Services to regulated and public entities and through its UK subsidiary Treppides Advisers Ltd it will be offering such services in the UK drawing from the accumulated group knowledge. Our services apply to IFs, PI’s, Banks, Insurance Co’s, EMIs and Investment Funds that wish to outsource or receive consulting services for their Risk Management Function and meet the requirements of national competent authorities including the Financial Conduct Authority (“FCA”).   

We define Risk Management as identification, assessment and control of those risks that endanger the assets and earning capacity of a business.

Having serviced numerous Investment Firms, Investment Banks, EMI’s and PI’s our Risk Management department has developed expertise in providing dedicated active risk management and specialized regulatory compliance assistance. The following are considered our core capabilities:

  • Dedicated outsourced Risk Manager officers
  • Internal Capital Adequacy Assessment Process (ICAAP) and Supervisory Review (SREP) assistance
  • Regulatory Risk Compliance
  • Capital Requirements Regulation (CRR) and Directive (CRDIV)
  • European Market Infrastructure Regulation (EMIR)
  • Markets in Financial Instruments Regulation (MiFIR) and Directive (MiFID II)
  • Enterprise Risk Management Consulting

Investment Funds / Fund Administration Services

Increasing investments into investment funds by institutional investors and the sophistication of high net wealth individuals (“HNWI”) has resulted in Fund Managers realizing the importance of appointing sound, independent administrators, with the breadth and depth of knowledge required to support them. In most cases, it is required by the Administrator to provide a wide range of services effectively taking on the role of fiduciary, accountant, agent and consultant of the Fund. We support all these services:

  • Shareholder and Transfer Agency Services
  • Middle Office Services
  • Consultation on FCA regulations
  • Valuation Services
  • Fund Accounting and Treasury Services through Sage Prospero Fund Admin S/W
  • Fund Compliance Services
  • Hedge Funds, Private Equity Funds, Real Estate Private Equity Funds, Distressed Funds, Infrastructure Funds, Shipping Funds and Venture Capital Funds
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