We are regularly called to perform consulting services and to develop tailor-made solutions addressing all types of regulatory provisions, such as:
Remediation to identified gaps detected by internal / external auditors or by the Regulators
Independent review and selective or comprehensive update of your policies, procedures and charters
Before launching a new fund or sub-fund, complementary technical assistance for the submission of the authorisation file to the Regulators
Assistance in the filing of all types of notifications to the Regulators
Guidance in the preparation of your initial and periodic due diligences, as well as your ongoing monitoring on your delegates (central administration including registrar and transfer agent, investment managers, risk managers, internal auditors and other activities).
Contribution in the design and preparation of closing documents to be provided yearly to the Regulators.
At the end of the day, good governance is more about people than it is about procedures. So professional bodies need to ensure that there are enough people with the professional knowledge and skills to ensure that common-sense governance, and not governance by mass regulation, prevails