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.
It is not simply a case of having a set of procedures and processes, nor is it just about having controls in place. Reliance on a poor control is often worse than having no control at all. It is key to have a clear understanding of the business and what can go wrong