Through years of experience in implementing strategic changes and in restructuring investment compliance processes, we can make sure that our clients operate within their budgets.
Consolidation of Pre-trade and Ex-post Compliance for a Leading German Asset Management Company
We consolidated pre-trade and ex-post compliance in co-operation with a leading German asset management company. At the starting point we had two different systems for pre-trade and ex-post compliance.
Preparing a decision
The first step consisted in deciding whether one of the existing systems would serve as standard or whether both systems would be standardised on a new system. We structured the organisational, professional and technical requirements as well as the decision factors in co-operation with the client. Possible implementation models were evaluated on a score card and prepared for decision making.
The second step consisted in elaborating a professional and operational investment compliance standard together with our client. This standard is the basis for implementing the regulatory, contractual and internal investment guidelines into the central investment compliance system.
The third step consisted in implementing the professional standard and, based on it, the regulatory and contractual investment guidelines for approx. 1200 monitoring units (funds, segments) into the central investment compliance system.
Investment Compliance Integration of an Acquired Asset Manager into the Processes and Systems of the Acquiring Asset Manager.
After the acquisition of a medium-sized German asset management company by a global player we supported the investment compliance integration of the acquired party into the buyer’s investment compliance.
Creation of a Central Ex-post Compliance Function in Europe with Central Processes and Systems.
Together with our client, an international asset management company we created a central ex-post for Europe.
Integrating Funds of an Acquired Asset Manager into the Systems of the Acquiring Asset Manager.
We integrated the funds of an acquired and liquidated asset manager into the infrastructure of the acquiring asset manager.
Please contact Alexander Kazlou for further information.