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The implementation, updating and auditing of management systems in line with ISO standards QMS 9001:2015 (quality management system) and CMS 37301:2021 (compliance management system) are essential for product and service quality as well as compliance in organizations. QMS 9001:2015 increases customer satisfaction through effective processes. CMS 37301:2021 ensures compliance with regulatory requirements. Both standards encourage continuous improvement and risk management worldwide.

A Target Operating Model (TOM) helps organisations to improve their processes. It relates to processes, business areas, departments, employees, and infrastructure. It is supported by governance and compliance. The task of a TOM is to achieve the corporate vision and goals as efficiently as possible and at low cost.

A European regulation on the General Data Protection Regulation (GDPR). It specifies how personal data may be collected and processed and what rights a person has. It applies to all organisations based in the EU that process such data and to all organisations worldwide that use the data of EU citizens.

This national regulation of the Swiss Data Protection Act (DPA) relates to the protection of privacy against the misuse of personal data. It protects the fundamental rights of natural persons who are located in Switzerland and whose data is processed.

The EU AI Act is the regulation of artificial intelligence (AI) in the European Union. It aims to strengthen trust and safety in AI systems by defining risk-based categories: from minimal to high risk. High-risk applications are subject to strict transparency, safety and oversight requirements. The Act is intended to set a legal EU AI standard, promote innovation, protect fundamental rights and ensure the ethical use of AI.

This national and international regulation prevents illegally-generated funds from being laundered into the legal financial and economic cycle. Dynamic developments in money laundering law are driven on the one hand by increasingly strict international standards, and on the other hand by innovations in the financial industry such as the crypto market or decentralised finance (DeFi).

A European regulation on ‘Markets in Crypto Assets (MiCA)’, which introduces a European legal framework. The regulation is primarily aimed at protecting investors and ensuring financial stability. At the same time, it enables innovation and promotes the attractiveness of the crypto-asset sector. In addition to the term ‘crypto asset’, the MiCA defines three specific categories of crypto assets: ‘e-money tokens’, ‘asset referenced tokens’ and ‘utility tokens’. Each category has specific legal consequences for market participants.

This European regulation ensures performance in critical scenarios - in line with global regulatory steps. It consolidates and updates regulations on information and communication technologies. As a European legal act, it brings together all regulations that deal with digital risk in the financial sector in a single way.

Via sanctions lists, companies should check their business contacts against various sanctions and the entities that sanction them. This affects legal persons, organisations and companies that have been involved in terrorist, aggressive or illegal acts. If measures are envisaged against such business parties, it is prohibited to do business with them on the basis of the respective regulations.

This digital investigation method seeks to find and secure evidence in emails, business communications and other data for use in litigation or criminal proceedings. Its well-known use case is in the Foreign Account Tax Compliance Act (FATCA), an American law that combats US tax evasion.

Relevant company data is analysed for patterns and anomalies using algorithms. The method reveals whether fraud, money laundering, policy violation or other misconduct has occurred.

This method analyses regularly and in depth the exchange of capital, goods or services across national borders under regulatory framework conditions. It is mandatory for all financial institutions with regard to risks and legal framework conditions in national and target markets.

A European directive for "Markets in Financial Instruments Directive (MiFID)". Its main objectives are harmonisation, investor protection and more transparency for investors in securities. Every investment service provider must show its clients the total costs and impact on return.

This is about the method of the digital twin as a virtual image for more customer efficiency. From this, actions and products can be derived for the future and action leads can be achieved. A high degree of personalisation is the basis for strong customer centricity and customer efficiency. Important regulatory guard rails concern data protection and data ethics.

Identity and Access Management is concerned with the processes within an organisation that deal with the administration, use and access to customer, employee data and user accounts on the company network - including the authorisation management for users on applications and IT systems.