Compliance

We recognize the importance of a robust compliance culture for the success and sustainability of our clients. Our team provides specialised legal support in compliance, developing tailored compliance support programs for our clients, including the drafting and/or review of policies and procedures that are aligned with all the legal and regulatory requirements to which our clients in the financial sector are subject to.

Furthermore, we provide legal support to compliance officers and their teams in addressing the various challenges they face in their roles, whether regulatory, compliance-related, or linked to supervisory actions, investigations, or sanctioning proceedings (administrative offenses).

We develop and implement customized training programs, aligned with the recommendations of the competent authorities, ensuring that the governing bodies and other employees are properly equipped to comply with legal and regulatory requirements.

Leite Borges assists its clients in interactions with regulators in their respective sectors, including responding to requests for clarification, administrative procedures, and proceedings related to minor regulatory offenses conducted by these authorities.

Whenever necessary, we are also available to support the execution of audits and proactive risk assessments, identifying potential vulnerabilities and proposing effective corrective measures to mitigate risks and strengthen internal controls.