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Asset Management

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Asset management is a challenging field that requires constant adaptation to complex regulatory changes, technological innovation and market disruptions. The global pandemic and other geopolitical and macroeconomic events have added more intricacy and risk to the asset management industry. With the FCA making changes to the AIFMD regime and introducing new Sustainability Disclosure Requirements (SDR) initiatives for investments ESG funds, asset managers need to be prepared for any scenario and stay ahead of the curve. 

At Complyport, we have the experience and expertise to help you navigate the regulatory and risk landscape for asset management. We have been providing award-winning compliance and risk management solutions for asset managers for over 22 years.  

How Complyport can help?

Having assisted numerous fund managers in the UK and beyond, we can cater to diverse clients and needs, including:  

  • Institutional Asset Management Firms
  • Wholesale and Retail Funds
  • Alternative Investment Funds
  • UCITS
  • Private Equity
  • Real Estate Investment Trusts

How Complyport can help?

  • Ensuring that robust financial crime prevention controls are in place.
  • Establishing solid anti-market abuse mechanisms and controls.
  • Creation of a firm-wide regulatory risk framework that aligns with the relevant client’s business model and risk appetite.
  • Establishing solid operational resilience.
  • Authorisation and assessment of senior management roles, certified to provide retail financial services.
  • Comprehensive assessment and documentation of compliance with Consumer Duty rules.
  • Delivering training in person or virtually to staff and senior management to satisfy the FCA’s training requirements.
  • Ongoing advisory services for ad-hoc questions or queries that may arise in the natural course of business.

Our experienced team closely monitor the regulatory and market landscape to help our clients ensure continued compliance and success. We understand that flexibility is key in this industry. No matter the regulatory area or problem, we can provide tailored support and expert advice.  

Our services include the offering of:

  • FCA authorisation application assistance.
  • Regulatory advice in client assets and money, Consumer Duty, post-Brexit changes, Appointed Representatives, Financial Services and Markets Act 2023 and Diversity and Inclusion rules.
  • Assisting with financial reporting and prudential requirements, drafting the required documentation and assisting you with submitting your RegData returns. We can also guide you on the preparation of complex documents such as your ICARA, Recovery Plan, Wind-down and Pillar III Disclosures.
  • Assistance with the implementation of ESG rules to ensure firm-wide compliance with the recently introduced framework.
  • Regulatory advice in financial promotions in the UK and overseas. We have expertise in advising clients on financial promotions through National Private Placement Regimes and equivalent frameworks overseas.
  • Assistance to financial promotion approvers in relation to the Financial Promotion Gateway.
  • Regulatory advice in regards to the Temporary Permissions Regime.
  • Financial crime risk management.
  • Reviewing, drafting and updating policies and documents in respect of regulatory changes.
  • Ongoing advisory services for ad-hoc questions or queries that may arise in the natural course of business.

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