REGULATORY AND COMPLIANCE SERVICES
Our team of qualified legal professionals and fund experts are on hand to represent the interests of stakeholders worldwide and ensure they are served in the best possible way.

Our services include periodic reporting to fund directors and asset managers, due diligence on any underlying investments, and a range of fiduciary services to ensure your fund is in good standing and fully compliant with all applicable rules and regulations.

As Compliance Officers or Money-Laundering Reporting Officers (MLROs) of any fund, we execute one of the most stringent know-your-client (KYC) and Anti-Money Laundering (AML) procedures. We take our fiduciary duties seriously.

As a global service provider, we are extremely vigilant in tracking local and international rules and regulations, so we can offer you peace of mind when it comes to compliance and any reporting obligations relating to FATCA and Common Reporting Standard (CRS), and other tax and legal frameworks.

Our services include:

  • Anti-Money Laundering (AML) and Know-Your-Client (KYC) Management Services (AML)
    • MLRO/Compliance Officer Services (including MLRO/DMLRO/AMLCO/RC appointments)
    • Compliance Remediation and Support Services
    • AML/CTF Framework Design and Implementation
    • AML/CTF Policy Review, Policy Creation and Risk Assessments
    • Sanctions Framework Reviews
    • KYC Process Assessment and Optimization
    • Preparation and Delivery of Regulatory AML Trainings for the Board and Employees
    • AML Audits
    • Preparation for Regulatory On-site Visits
    • Screening Services on both asset and liability sides
    • Suspicious Activity Reporting (SAR):
      • Design and implement control frameworks and processes to aid efficiency;
      • Assessing current procedures, processes and technologies used to comply with regulations surrounding sanctions and suspicious transaction reporting;
      • Training to increase awareness of potentially suspicious transactions and activities and how to identify them during the ordinary course of business.
  • Directorship Services (including RR appointments)
  • Data Protection Services (including DPO appointments)
  • Corporate Officers Services
  • Corporate Governance Services
  • Board Support Services
  • Internal Audit Services
  • FATCA, CRS, MDR, ATAD & other Tax Reporting Services
  • AEOI Responsible Officer Appointments
  • AIFMD Risk Management & Investment Compliance Services
    • MiFID (Markets in Financial Instruments Directive) Services
    • Form PF Obligations
    • Key Investor Information Document (KIID) Services
    • ESG Rules Compliance and Reporting
  • Fund Regulatory Reporting (local financial regulator filing and a complete end-to-end regulatory reporting framework)
  • GIIN request and renewal
  • Bespoke Regulatory & Compliance Services

RELATED SERVICES

Fund Administration and Investor Services
Regulatory and Compliance Services
Business Process Outsourcing (BPO)
WE ARE HERE TO ASSIST

Are you interested in more information? We can match you up with one of our experts close to you to discuss your needs and provide you with a bespoke solution that suits your needs.

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