Regulatory compliance and reporting

Regulatory compliance and reporting for asset management

Organisations must establish internal processes to meet regulatory and other (e.g., risk) reporting requirements. Reply offers a range of regulatory compliance and reporting services. These focus on:

  • Supporting the development and interpretation of new regulatory requirements, drawing on our understanding of the pan-European context in which these requirements are established (e.g., the UCITS III Directive, the European Commission Recommendation on the use of financial derivative instruments by UCITS, the domestic implementation of these European requirements such as AMF’s Instruction 2006-04 in France, Financial Regulator Guidance Note 3/03 in Ireland, CSSF Circular 07/308 in Luxembourg);
  • Performing feasibility studies to assess the impact of new regulations on an organisation’s current capabilities, and identify those areas where change is required (e.g., gap analysis);
  • Managing the implementation of changes required by new regulatory and reporting approaches;
  • Performing independent quality assurance and health check reviews;
  • Assisting in preparing;
  • Validating existing reports (and reporting infrastructure) against operational and regulatory requirements;
  • Assisting in preparing clear and precise documentation with respect to risk management for presentation to, or filing with, regulator, clients, prospects and/or management for existing investment companies (e.g., UCITS) and/or new investment companies being established.

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