Compliance

Support in the application of relevant legislation from a legal and market perspective.

Goals

We provide entrepreneurs with specialised advice that combines a legal and a financial approach, balancing the needs of the regulator with those of investors.

Compliance procedures

Implementation and monitoring of processes aimed at the application of compliance procedures to enforce transparency.

Implementation and monitoring of processes aimed at ensuring compliance with corporate governance, related party transactions, corporate transactions.

Assistance to corporate bodies

The Compliance Division assists the Issuer in managing all obligations relating to shareholders’ and board meetings, ensuring the compliance of decision-making processes in line with market best practices:

Annual General Meeting

AAssistance with all related obligations:

  • preparation of guidelines for the management of AGM,
  • notice of AGM,
  • proxies,
  • board reports,
  • all relevant documentation

Board of Directors

Assistance with all related obligations:

  • preparation of guidelines for the management of BoDs,
  • notices of BoD and supporting documentation
  • assistance in the preparation of minutes and related documentation

Training for the Board of Directors

The Compliance Division implements training plans divided into modules in relation to the following topics:

  • individual and collective responsibilities of board members
  • independent director role
  • code of corporate governance
  • market abuse
  • AIM Italia Issuers Regulation
  • preparation for the changeover from AIM Italia to the MTA market
  • assessing the adequacy of the composition of the board of directors