Investment Compliance Health Check

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.