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Regulatory Services

We take on the burden of regulatory compliance, with knowledgeable experts and our unique data warehouse approach to tracking.

Minimize the strain of regulations on your firm

Today’s economic and regulatory climate has placed a tremendous burden on management, directors, and regulatory teams to provide increased financial reporting and transparency to both regulators and investors.

Our regulatory services help you meet these reporting and compliance requirements without building an in-house regulatory reporting solution.  You’ll benefit from our unique data warehouse approach, our team of industry experts and the ability to track it all from our single comprehensive platform.  

We offer regulatory and compliance solutions for:  

Pooled vehicles – Alternative vehicles Separate accounts Sovereign wealth funds Family offices And more

Regulatory Reporting Outsourced regulatory reporting services supported by a centralized compliance team, as well as an integrated platform which facilitates the scoping, data consolidation/aggregation, calculations, review, approval and filing process:

  • Form PF
  • Form CPO-PQR
  • AIFMD Annex IV
  • Global Shareholder Disclosure
  • RIC Reporting (N-SAR, N-MFP, N-Q)
  • RIA Reporting (13F, 13H, 13D/G)

Investor Compliance Outsourced investor compliance services related to investor due diligence, anti-money laundering and activity monitoring including comprehensive oversight reporting on data and process transparency:

  • AML
  • FATCA
  • UK CDOT
  • OECD CRS

Investment Risk and Compliance Analytics and reporting related to portfolio compliance and risk calculations provided to support regulatory requirements as well as management oversight and end-investor requirements:

  • Post-trade portfolio compliance monitoring
  • Regulatory risk analytics and reporting

Firm Compliance Services to support your firm-wide compliance program, including a global regulation library, news event feeds, a comprehensive compliance management tool as well as best practice reviews and recommendations:

  • Regulation event news feed
  • Compliance program gap analysis
  • Compliance management system

Download our Regulatory Overview

Our Solution for Investment Managers

Turn infrastructure into competitive advantage

Our comprehensive investment operating platform is designed to support all major asset classes and investment vehicles across diverse investment strategies and jurisdictions

Learn more
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