Auditing of financial service providers

Hardly any other industry has been as affected by regulations and legislative changes in recent years as financial service providers.

Service providers in this segment are subject to special requirements in terms of annual audits; for example, as an asset manager, financial statement broker and investment consultant, or even as a leasing and factoring service provider, you have to prepare accounts like a large corporation – regardless of the actual size and legal form of your company.

Of course, we know about the burdens, but also the pitfalls that arise from the auditing requirements imposed by the legislator. Therefore, our experts support you in all matters arising, such as:

  • advice before and during the integration of compliance structures
  • auditing of financial and securities services companies
  • annual audits of financial service providers according to the German Credit Services Act (KWG) and the German Commercial Code (HGB)
  • support during special audits according to Article 44 KWG

According to BaFin, the cooperation of leasing and factoring service providers with an auditing company is limited to a maximum of ten years before a change of auditor is required. Perhaps you would like to make use of our expertise? We look forward to hearing from you.

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We look forward to your enquiry.

    Hartmut Boberg

    Georgsmarienhütte | Osnabrück

    Dr. Christoph

    Berlin | Georgsmarienhütte | Osnabrück