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Our proprietary diagnostic framework is used to drill-down into compliance issues across the front, middle and back office in any fund regardless of size, strategy or the complexity of specific trade lifecycles.
We analyze each specific piece of a fund's trade lifecycle and infrastructure in detail to identify the potential gaps in systems, processes or procedures which may be flagged during any Due Diligence exercise. We would typically look at systems and processes around the following areas:
Trade idea generation
Execution and Order Management
Trade Allocation
Risk Management
Stock Loan
Portfolio Accounting/Reporting
Cash Management
Investor Relationship Management
Information Security
Disaster Recovery
To discuss how we can help in your preparations for a regulatory due diligence or help you benchmark your current state of compliance against best practice, please contact: