By bringing together our key legal, technical, monitoring, risk reporting and delegate oversight capabilities we can offer support in achieving full regulatory compliance.
Our Operational assurance team covers three areas critical to the efficient and compliant functioning of funds: Legal & Technical, Monitoring & Risk Reporting and Delegate Oversight.
Legal & technical are responsible for the creation and ongoing maintenance of your fund / scheme documentation and for applications to the FCA to launch, change or wind-up schemes.
Monitoring & risk reporting have oversight of funds’ investment and borrowing restrictions and areas such as stress testing, liquidity, performance, charges, turnover and best execution.
Delegate oversight is responsible for conducting initial due diligence on new investment managers and new fund propositions, as well as ongoing due diligence on existing relationships.