Compliance & regulatory

Regulatory scope

Consultinghouse GWB provides strategic and financial advisory services from Munich. Our activities are structured to comply with German commercial law, applicable EU financial services regulations, and professional standards governing advisory conduct.

We do not provide regulated investment services, deposit-taking, or legal advice unless expressly agreed through qualified partner firms. Clients receive clear scope letters defining advisory boundaries at engagement start.

Cross-border advisory

Many mandates span multiple jurisdictions. We assess regulatory touchpoints — including local licensing, marketing restrictions, and sovereign approval requirements — before advising on capital mobilization or fund structures in non-German markets.

• Coordination with local counsel and regulated partners where mandatory
• Documentation suitable for investment committees, DFIs, and sovereign review processes
• Clear identification of activities performed by Consultinghouse versus referred specialists

Record keeping

Mandate files, conflict disclosures, compliance approvals, and key client communications are maintained in secure systems with access controls and audit trails.

Records support internal review, professional indemnity requirements, and regulatory inquiry. Destruction follows documented retention policies aligned with German commercial and tax law.

Reporting obligations

Where law or contract requires, we support clients with information for regulatory filings, anti-money-laundering reviews, and institutional reporting. Suspicious activity connected to a mandate is escalated in line with applicable AML obligations.

Material changes in our business structure, ownership, or professional indemnity coverage relevant to ongoing mandates are communicated to affected clients. Compliance inquiries: contact our Munich office.