The Investment world is ever changing, and the regulatory environment increases in complexity. Having a robust Investment Compliance Monitoring framework in place is therefore of utmost importance to ensure that investments are made in compliance with any applicable restrictions and in line with business integrity principles.

Another important aspect is ensuring the suitability of investments for clients. This includes having appropriate processes in place to assess suitability of investment products being recommended as part of an advisory mandate, or invested for clients as part of a portfolio management mandate. This is a key component of a proper investor protection framework and aligns with international standards such as EU MiFID II.

How can we help?

  • independently monitor investment compliance and provide assurance to investors.
  • design an investment compliance framework
  • Conduct an Investment Compliance Health Check
  • Design a business integrity framework to ensure the investment business is conducted in a compliant and ethical manner.
  • Establishing an Investment Suitability Framework
  • Ongoing Monitoring of Suitability Assessments

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