Advised management company holding AIMFD licence on compliance matters

Our Financial Services, Compliance and AML lawyers assisted a management company licensed under the AIMFD managing more than 10 investment funds and companies, in developing a comprehensive tool to ensure compliance with the requirements for management company operations.

Such a tool would ensure more efficient and expeditious identification of non-compliance, in particular when a significant number of funds or investment companies are under the management and the ability to remedy identified deficiencies as soon as possible.

Our consultancy included clarifying the areas of compliance to be monitored, mapping the performance requirements and designing the performance monitoring process.