Compliance Case Study

Improved efficiency in the operating procedures and process.

Client

Client is a global, multi-strategy alternative investment management firm based in Los Angeles, CA.

Industry

Investment Management

Service

Compliance

Engagement Details

Model: Offshore

Business Need

Monitoring services in the areas of email surveillance, transaction monitoring, personal trading, regulatory requirement, gifts and entertainment policy.

Challenges representation Icon

Challenges

  • Dealing with the portfolio managers on the compliance frameworks.
  • Liaising and answering regulatory queries.
  • High regulation norms from different jurisdictions and regulators across geographies.
  • 100% enforcement of the firm’s compliance policies.
  • Implementing new compliance programs.

Services

  • Provided compliance services for our client whose offices are spread across 16 countries.
  • 24 hours surveillance support covering the global markets.
  • Flexibility in customizing to the client’s compliance oversight and simplifying monitoring.
  • Prepared compliance standard operating procedures and process maps on newly introduced compliance programs.

Benefits

  • Surveillance and regulatory compliance from a single location across geographies.
  • Certifications are done and sent to the regulators on time.
  • Improved efficiency in the operating procedures and process.

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