Assistance for financial service providers
Financial service providers who come under the regulations of the German Securities Trading Act are subject to different auditing duties. For example, in accordance with Article 36 of the German Securities Trading Act they have to have their reporting obligations audited annually by a suitable auditor pursuant to Article 9 and the code of conduct in Article 31 ff of the German Securities Trading Act. In addition, capital management companies that provide certain ancillary services are also partially subject to the German Securities Trading Act.
A service for service providers: the services that we provide for our clients do not just include classic annual audits but also other statutory audits. These include, for example, audits in accordance with the German Securities Trading Act.
The variety and complexity of these regulations can quickly overcharge small and medium-sized agents. In addition to the German Securities Trading Act’s requirements, there are also the regulations and information issued by the financial supervisory authorities.
WS Revision und Treuhand GmbH has first-class expertise and a broad practical experience in this field. This enables us to support you using our consulting-based auditing approach. As a result, we provide you with assistance in implementing the supervisory requirements.