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Internal Audit Services

Our services for Internal Audit are listed below. We remain at your disposal for any questions or inquiries at info@salvusfunds.com.

  1. Outsourcing of the entire Internal Audit Function
  2. Thematic Internal Audit Reviews and Co-sourcing
    • Objective Assurance and Consulting on selected risk management, control and governance processes, policies and procedures
  3. Service to the Existing Internal Audit Function
    • Independent Assessment
    • Consulting, Support and Training
  4. Systems’ Audit including the provision of Independent Assurance as to the accuracy, completeness and relevance of the information extracted from trading platforms and systems
  5. Ad hoc Internal Audit investigations and reviews
    • Compliance Audits and health checks (such as Remediation Review and Planning subsequent to a regulatory investigation)
    • Independent Assurance reports requested by local or foreign regulatory bodies
    • Internal Incidents and reviews of possible regulatory infringements
      • Corporate Fraud
      • Clients’ Complaints and dispute resolution
      • Incidents that relate to the Anti-Money Laundering Regulation (AML)
      • Incidents that relate to Market Abuse Regulation (MAR)
      • Incidents that relate to the implementation of the Capital Requirements Regulation (CRD and CRR)
      • Incidents that relate to the Regulatory Transaction Reporting (MiFIR and EMIR)
      • Incidents that relate to the occurrence of data breaches (ex. impact assessment)
      • Incidents that relate to the implementation of the best execution framework
      • Incidents that relate to the implementation of the Investors’ Protection regime
    • Governance Framework and Data Analytics reviews
      • Review of the Organization’s Accountability and Corporate Governance Framework (such as effective allocation of Roles and Responsibilities, Internal Reporting Framework, Accountability Management, Product Governance)
      • Quality Assurance reviews to ensure that the organization is properly capitalizing on the use of Business Intelligence and Data Analytics

Please contact us at info@salvusfunds.com to discuss all your Internal Audit needs.