Compliance

Integrated, Internal, External

Compliance stretches beyond strict regulatory issues and includes internal fund governance and investor compliance. Professional quality compliance might now be considered a competitive advantage and asset managers increasingly understand the benefits of instilling a culture of compliance.

Compliance components are embedded across FM3 in the form of monitoring and alerting tools, process controls, specific regulatory support, investor and executive reporting. As a single platform, FM3 drives these components with powerful data collection and management resulting in accurate and timely enterprise compliance.

Fund Internal Compliance

  • Investment guidelines compliance
  • Offering memo compliance
  • Processing control environment
  • Portfolio concentrations, exposures
  • Pre and post trade compliance
  • Asset class allocation
  • Risk exposure and VaR levels
  • Executive committee and board reporting

Investor Compliance

  • SAS70 accredited
  • Due diligence
  • Authentication and security
  • Know Your Client
  • Anti-money laundering
  • Transparency reporting

Regulatory Compliance

  • Form PF
  • Dodd-Frank
  • FACTA
  • AIFMD
  • CFTC
  • Regulatory filings data
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