COMPLIANCE SERVICES FOR INVESTMENT MANAGERS
COMPLIANCE SERVICES FOR INVESTMENT MANAGERS
Early Phase and Startup Advice
AICORP Consulting advises firms who provide investment management for Collective Investment Schemes (CIS) and Private Client Investment Portfolio Management. We provide advice and hands on assistance on all the technical and compliance issues related to start up and early phase development.
Investment Management
Having established the fund or service structure and location, we will help our clients to design and implement compliant investment management processes and procedures. We will ensure they don’t overlook any of their regulatory obligations without strangling their business in red tape.
Dealing Arrangements
We will help our clients to plan and establish clear and compliant dealing arrangements. Whether they will deal exclusively through one broker/dealer or via a range of broker dealers, we will help them to document the process and ensure the procedures are compliant.
Fund or Portfolio Administration
Where fund administration is outsourced, we will review the relationships between service providers and consider any oversight and control obligations that may arise. We will ensure our clients are aware of any compliance requirements and that t
Middle and Back Office Controls
Where their firm is responsible for the middle and back office compliance oversight, we will ensure that flexible but robust monitoring procedures are established. We aim to ensure there are no regulatory breaches so our clients can concentrate on their business.
Regulatory Consultancy
Firms frequently face business decisions where an incorrect or incomplete grasp of the rules can result in actions that have serious regulatory implications. We will help by being available to attend and contribute to senior management discussions relating to major issues. We will consider the business objective and advise the optimum action to achieve it in a compliant fashion. We frequently help our clients to get key decisions right first time.
Liaison with Regulators
On a significant number of occasions we assist our clients by handling, on their behalf, discussions or consultations with the FSA and other regulators. Sometimes we are able to do a “no names” basis. This enables us to explore issues and clarify what will or will not be acceptable to a regulator.
Financial Resources Monitoring
We frequently assist our clients to understand how to structure their financial resources to meet regulatory requirements and to monitor to ensure they remain compliant. We also have a great deal of experience in helping firms to structure the financial resources required by a regulator for their business. In particular, we have often assisted clients to avoid locking-in capital unnecessarily.
Additional Work
Whatever or whenever you wish to implement, please note that we are ready at your door step to serve you.