Legal and Compliance

Organizations face challenges in meeting new and changing regulatory requirements. We fully support the legal obligations of ManCos and Funds under management to ensure that during their lifecycle they are not exposed to unmonitored risks or lack of compliance supervision.

We provide the following legal and compliance services:

  • Liaison with clients, investors, supervisory authorities and external service providers on local and international legal and compliance requirements
  • Coordination of legal matters with internal and external advisers
  • Provision of advice on corporate governance and legal support to the management of the Funds
  • Preparation, review and monitoring of corporate documents (agreements, resolutions, letters…)
  • Review of applicable laws and regulations that may impact the client / the Fund and monitoring the implementation of required changes
  • Provision of compliance monitoring and reporting services, preparation of the regulatory compliance reports as required
  • Provision of AML/CFT KYC checks (PEP, suspicious transactions), and AML / CFT processes implementation reviews and remediation
  • Due diligence checks and risk assessments that are recorded and supported by a documented risk assessment procedure
  • In-depth analysis when required by the profile of the investor or the level of risk of the transaction