Our investment compliance health check provides you with a quick assessment of operational risks, recommendations for quality improvements and cost reduction opportunities.
Typical topics are:
- Classification of your operational universe (data warehouse, set of rules, asset classes, etc.)
- Coverage of regulatory and contractual restrictions
- Agreement set-up and NPP processes
- Organisation of production processes
- Flow of information between departments and systems
- Organisational structures
- Preparation of internal and external audits
- Regulatory reporting
Please contact Alexander Kazlou for further information.