Our management and compliance services include e-communication evaluations, marketing and advertising material reviews, Investment & M&A Road-shows regulatory compliance reviews, distribution compliance, code of ethics monitoring and social media surveillance. They also include a wide range of managed services. In order to support you and ensure smooth workflow, our regulatory compliance specialists collaborate with your company's team of internal compliance officers. Our subject-matter specialists work to maintain internal controls and support workflow redesign in order to reduce inherent and prospective risks recognised under any policy or regulation. This is done in conjunction with our knowledge in compliance.

KPM ASSET's Investment compliance assistance allows compliance functions to work more efficiently by providing pre- and post-acquisition monitoring, guideline interpretation and coding, and industry surveillance. During the investing process, we support our clients in securing their reputation and protecting their finances.

The skill sets on our team of professionals are a rare blend. They have a great deal of familiarity with compliance & order management systems like BlackRock's Aladdin, Ion's Latent Zero Sentinel, LDC, ThinkFolio, and Bloomberg AIM. The Investment Company Act of 1940, UCITS, Inv-G, ERISA, FINRA, the Securities Act of 1933, SFC, MpFA, FSA, and APRA are just a few of the international rules they are familiar with. They also contribute a comprehensive grasp of the area, such as the Investment compliance monitoring functions.

Compliance & Risk management

We assist regulated companies in adopting consolidated and standardised compliance and risk management procedures so they can adhere to the laws, regulations, and guidelines that are pertinent to their line of work. Our offerings consist of:

• AML consulting and support
• Compliance support (including on-site)
• Risk management consulting and support services (i.e. Policies, RMP, Reporting, etc.), incl. PRIIPS KID support
• Investment compliance

Business & Operations

We support asset managers and asset servicers in meeting regulatory requirements and designing their setup and operations:

• Support to strategy definition, design and implementation, including their target operating model
• Seeking of regulatory authorisation for regulated entities and/or activities
• Regulatory and tax reporting services and advice: FATCA, CRS, AIFM Annex IV, EMIR
• Project management assistance
• Incident management services (inspections, breaches, errors...)

Fund distribution & Cross-border activities

Fund managers who want to provide their services or distribute their goods on a global scale can provide them with guidance on how to promote their funds legally. Our offerings comprise:

• UCITS and AIF cross-border notification and maintenance services (via passport or private placement)
• Exercise of management passports
• Distribution advisory
• Distribution risk monitoring –consulting and compliance

Governance

Establishing a suitable governance structure amongst the various parties and suggesting instruments to evaluate that governance:

• Governance Radar - to provide a fair assessment of the level of directors' knowledge (Board pack assessment)
• Governance consulting services: designing decision tables and defining roles for governing bodies
• Board assessment
• Governance training