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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. |
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| 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: |
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Trade idea generation |
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Execution and Order Management |
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Trade Allocation |
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Pricing/Valuation |
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Risk Management |
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Stock Loan |
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Reconciliation |
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Portfolio Accounting/Reporting |
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Cash Management |
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Investor Relationship Management |
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Information Security |
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Disaster Recovery |
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| 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: duediligence@ivp.in |
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