Compliance and Regulatory Consulting services for the financial services industry.

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "Compliance and Regulatory Consulting services for the financial services industry. www.kinetic-partners.com"

Transcription

1 Compliance and Regulatory Consulting services for the financial services industry With our award-winning expertise and broad range of services, we can guide you safely through regulatory change, challenges and compliance requirements.

2 2 Duff & Phelps Kinetic Partners division: Compliance and Regulatory Consulting Services Kinetic Partners provided valuable cross-jurisdictional regulatory support and advice at a critical point in our launch. They have subsequently become a vital partner helping us navigate through the myriad of global regulatory changes and have been able to provide reassurance to both principals and investors that our compliance regime is robust. Chief Operating Officer and Compliance Officer Hedge Fund Manager (multi-funds)

3 3 Guiding you through the regulatory landscape OUR RECENT AWARDS BEST OVERALL ADVISORY FIRM IN THE US 2014 HFMWeek BEST SEC REGISTRATION TEAM IN HONG KONG 2014 Acquisition International BEST ASSET MANAGEMENT REGULATORY CONSULTING FIRM IN IRELAND 2014 Acquisition International BEST EUROPEAN REGULATORY ADVISORY FIRM 2013 HedgeWeek The financial services industry is subject to increasing scrutiny and oversight, and the financial and reputational cost of making mistakes is growing. Regulatory initiatives impact the industry on a local and international level, requiring both firms to be cognizant of all legislation and initiatives affecting their organizations, as well as establishing and maintaining robust systems and controls, so that regulatory responsibilities are met and risks mitigated. Financial institutions are also examining their business models and undertaking strategic trend analyses to respond effectively to the developments, challenges and opportunities of which regulation plays a key part. Duff & Phelps Kinetic Partners division is a leading provider of compliance and regulatory consulting services to the financial services industry. Drawn from financial institutions, regulators, government authorities and advisory firms, our multidisciplinary team operates seamlessly across borders to help clients to build, manage and protect their businesses. Based in key financial centers, we are closely connected with regulators and industry associations so that our clients have the best available information on regulatory requirements and trends. Whatever your organizational size and challenge, our team can assist. Our broad range of services include: Compliance Consulting Our dedicated team of compliance and tax specialists offers straightforward and practical advice during the launch phase and will provide assistance throughout the life cycle of your business. Regulatory Consulting We provide specialist regulatory consulting services on both a local and global scale to clients across the financial services industry including investment and private banking, asset management, wealth management and brokerage firms. Risk Consulting and Infrastructure With market-leading practitioners, systems and processes, we are able to provide a full range of substance and risk services, from risk reporting and analysis, to full Third Party Management Company services. Regulatory Tax Advisory Services - Our team provides diverse advisory services on areas including start-up structuring, tax compliance, tax implications of restructuring within a regulated environment, and guiding UK individuals and businesses on dealing with HMRC. Business Services - Our services combine an online, real-time reporting platform with deep financial, operational and regulatory expertise in the investment management industry.

4 4 Duff & Phelps Kinetic Partners division: Compliance and Regulatory Consulting Services Serving the financial services industry Providing a deep pool of talent, our team of industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements. Over the past 10 years, Duff & Phelps Kinetic Partners division has gained a reputation as an industry leader and trusted advisor. We continue to achieve recognition for our highly valued professionals and service to clients across the financial services industry. Our team of specialists has extensive experience in working on a local and cross-border basis with clients including fund managers, investment banks, wealth managers, brokers, corporate finance as well as regulatory bodies, recognized investment exchanges and multilateral trading facilities. Centers of Excellence Our approach is to pull together key individuals who understand governance, risk, processes, regulations, trading markets, IT infrastructure, and who have also worked in operational control, compliance monitoring and investigatory roles, ensuring that we provide a multi-disciplined team tailored to our clients requirements. Our services are then grouped around Centers of Excellence to ensure clients receive the highest level of service and advice. The powerful combination of our unique industry focus and highly trained professionals allows us to provide tailored advice in our chosen industries. Clients benefit from our multidisciplinary team, all highly regarded within their relevant field and drawn from across the globe, to provide the high quality service demanded by our clients. Our clients Hedge fund managers Private equity/ venture capital managers Private client/ wealth managers Corporate financiers Alternative and traditional funds Broker dealers/ institutional and retail brokers Exchange and MTFs Insurance companies and brokers Investment and retail banks Custodians Fiduciaries and trust companies Asset managers Crowdfunding platforms Peer to Peer lenders Focused on financial services

5 5 Delivering a range of services Our dedicated team of compliance, tax and accounting experts can offer you practical advice and assistance during the launch phase and throughout the life cycle of your business. Our team s broad experience includes setting-up firms and assisting them to obtain initial authorization or registration, as well as providing ongoing compliance, tax, financial and business services support to meet regulatory requirements. Compliance controls testing Employee trading review Incident management Remedial projects Regulated funds services Compliance Consulting Registration and authorization Consultation on registration and start-up issues FCA authorization/article 42 registration SEC/CFTC/NFA/ SFC/ MAS registration Drafting and filing of applications/forms Assistance with IARD filings Liaison with regulators Ongoing access to experienced registration expertise Access library of compliance documents Diagnostic review of existing programs and policies Ongoing compliance support Compliance manuals Compliance infrastructure design and implementation ICAAP /risk frameworks Policies and procedures development Regular periodic and thematic compliance reviews Annual reviews and mock regulatory audits On-site SEC/CFTC/NFA examination support On-site FCA/SFC/MAS visit support Cross-border assistance Preparing and responding to regulatory change Regulatory updates Compliance advice and training Financial and regulatory reporting Project management of fund set-up Global fund structuring assistance Regulatory, compliance and risk services UCITS and AIFMD oversight and advisory services Third Party Management Company services Money Laundering Reporting Officer FATCA Responsible Office Irish Stock Exchange listing sponsor UK Facilities Agent Cross-border registration management Financial reporting Technology solutions for funds Regulatory Tax Advisory Tax compliance, consulting and advisory Tax efficient structuring Taxation of fee flows Tax risk and disputes FATCA and BEPS advisory Business Services Entity incorporation and tax registration Business modeling with adequacy forecasts Regulatory financial reporting Bookkeeping, management information HR infrastructure and payroll Company secretarial services

6 6 Duff & Phelps Kinetic Partners division: Compliance and Regulatory Consulting Services Regulatory Consulting Over the past decade, Duff & Phelps Kinetic Partners division has provided specialist regulatory consulting services on both a local and global scale to clients across the financial services industry including investment and private banking, asset management, wealth management and brokerage firms. We also work closely with a number of regulatory bodies and financial services industry associations throughout the world. Governance, risk and compliance GRC framework and controls reviews, and process improvements Compliance risk assessments Compliance monitoring Conflicts of interest Review of control functions Approved Persons regime Risk oversight and reporting ICAAP Operational and reputational risk Treating customers fairly Project management of complex intiatives Secondments to regulatory/compliance roles MAS internal audit Markets Transaction reporting & EMIR Post-trade reporting HFT and algo trading reviews Market surveillance, monitoring systems and controls Best execution Trading reviews Control room Information barriers Insider dealing expert witness Conduct risk Wholesale conduct risk drivers Retail conduct risk drivers Management framework Conduct risk strategy Conduct risk appetite Culture and ethics Product design/sales Past business/suitability reviews Conduct risk policy and MI Regulatory commissioned reviews SEC/CFTC/NFA/FCA/SFC/MAS mock reviews and examinations S166 Skilled Person reports; Post S166 implementation projects Regulatory and court appointed reviews Monitor appointments Past business reviews Financial crime Client Money, Client Assets (CASS) Transition management Transaction reporting Governance, systems and controls (SYSC) arrangements Conduct/Best execution reviews Prudential Financial crime Anti-bribery and corruption Fraud Market abuse Anti-money laundering (AML) Expert witness services Benchmark investigations Forensic assistance

7 7 Client money/custody CASS Client Money Return (CMAR) CASS Resolution Packs CF10a and general CASS training CASS health-check Ad hoc CASS troubleshooting Operational CASS review and assessment Due diligence Operational due diligence Regulatory due diligence M&A due diligence Nomad reviews Independent review of approach, systems, processes and controls Retrospective transactions review Designing a focused remedial plan Cybersecurity Cybersecurity and IT infrastructure assessments IT and cybersecurity DDQ advice Regulatory advice and support Staff IT Acceptable Use policies and tailoring advice Staff cybersecurity training I d like to thank you and your team for the hard work you have done to enable the executive to sign an attestation in relation to our transaction reporting systems. We recognize the work was comprehensively designed and executed to a high standard within a very aggressive time scale. We are particularly grateful to the team for the extended length of time they spent each day on the task and the patience and professionalism they expressed to all our staff throughout the process. European Head of Regulatory Group Global Investment Bank Kinetic Partners has been our compliance partner for the past two years and has given structure to our compliance program and enhanced my ability to instill a compliance culture in the overall management of our business. By meeting with us on a regular basis to review our policies and procedures and by providing meaningful updates on regulatory changes such as FATCA and AIFMD, Kinetic Partners consistently delivers the type of responsive and helpful service that my firm and I require. Compliance Officer SEC Registered Hedge Fund Kinetic Partners provided exceptional support and guidance when introducing an effective Compliance Risk Assessment process, which has been used to focus and drive our compliance framework and monitoring arrangements. Overall we find Kinetic Partners are able to provide highly experienced staff who are pragmatic and able to deliver output of a very high quality. We would have no hesitation in recommending them. Head of Compliance European Investment Bank

8 8 Duff & Phelps Kinetic Partners division: Compliance and Regulatory Consulting Services Risk Consulting and Infrastructure Our expert team of specialists is drawn from all sides of the financial services industry including, risk management, systems design, implementation and monitoring, consulting, tax advisory and fund structuring and regulatory experience. We operate a seamless model that allows us to be flexible, bespoke and proactive whilst building trusted long term partnerships with our clients. Substance and infrastructure solutions Third Party Management Company services Designated Person services Outsourcing of the risk management function Conducting Officers Independent Directorship Model reviews and validation Independent validation of risk models Review of valuation models for a range of financial instruments Review of performance calculation methods AuM calculation and leverage under AIFMD Risk reporting services VaR analytics, global exposure, stress-testing, risk attribution, leverage Counterparty, concentration, commitment UCITS Investment compliance reporting Risk reporting and risk dashboards for AIFMD Tailored risk reporting approach or Private Equity, Real Estate and Direct Debt funds Operational effectiveness and regulatory compliance support Review/set-up of the risk management function, policy, process and procedures Optimization of risk management infrastructure Review/implementation of operational risk framework, including oversight of delegated activities Risk modeling services UCITS and AIFs, including Hedge Funds, Real Estate, and Private Equity Assistance in defining, measuring and monitoring key risk analytics and indicators Mathematical modeling, risk model design and model implementation Model testing, backtesting and performance assessment

9 9 Members of our experienced team Julian Korek Business Unit Leader t: e: Julian leads Kinetic Partners, the Compliance and Regulatory Consulting Practice within Duff & Phelps. Julian s main areas of activity are governance and oversight, and operational risk, with particular focus on valuation issues and regulatory distress situations. Julian has undertaken numerous forensic investigations and advised clients around commercial disputes. He is a regular speaker at industry events and has published numerous articles, particularly on risk, governance and valuation. Julian qualified as a Chartered Accountant in 1982 and is a Fellow of the ICAEW and the Institute of Operational Risk. Julian has over 25 years experience in the asset management industry. Prior to co-founding Kinetic Partners in 2005, he was partner in charge of the London office of RSM Robson Rhodes. He formed the Tax Incentivised Savings Association (TISA), the trade organization representing the interests of all ISA managers to the UK regulators and legislators; Julian is a non-executive Director. Monique Melis Managing Director - Regulatory Consulting t: e: Monique leads the Regulatory Consulting Unit within the Practice. Monique specializes in regulatory advice and, over the last 20 years, has worked with investment firms and asset managers. Monique s areas of expertise include senior management systems and controls, market monitoring issues, global procedure manuals for large investment firms, regulatory investigations, transaction reporting, expert witness reports and regulatory due diligence. She is also involved in the resolution of regulatory investigations issues and has on numerous occasions spoken at industry seminars and written articles on regulatory change and transaction reporting. Monique joined Kinetic Partners from the Cayman Stock Exchange where she was Head of Market Regulation and Business Development. She previously managed the Transaction Monitoring Unit in the Markets and Exchanges Division of the FSA. She transferred to the FSA from the Securities and Futures Authority where she worked in the Surveillance Department. Andrew Shrimpton Managing Director - Compliance Consulting t: e: Andrew leads the Compliance Consulting Unit within the Practice. Andrew has over 20 years regulatory and compliance experience in the financial services sector. Andrew was previously responsible for putting in place the FSA (the FCA s predecessor organization) risk based regime for supervising hedge fund managers and day to day supervision of the largest alternative asset managers including private equity firms. He was an Executive Director at Goldman Sachs Asset Management before joining the FSA in 1999 to supervise asset managers (including unit trust and private client investment managers) and was appointed the FSA s first Asset Management Sector Manager in April Andrew regularly speaks at industry events and is often interviewed in trade press; he has been interviewed on BBC Newsnight, CNBC and the Today Programme.

10 10 Duff & Phelps Kinetic Partners division: Compliance and Regulatory Consulting Services Alan Picone Managing Director - Risk Consulting and Infrastructure t: e: Alan leads the Risk Consulting and Infrastructure Unit within the Practice. He specializes in risk management, a field where he has accumulated cross-sectional experiences as a quant, asset manager, risk manager, risk consultant or advisory service line leader over the last 15 years. Alan s command of risk management extends along the full value chain, from qualitative risk management to sophisticated risk modeling. He assists clients in a pragmatic way to address the risk challenges imposed by financial regulation (such as AIFMD, UCITS, Basel III and Solvency) through the supply of practical advice, infrastructure, substance and governance solutions. Alan specifically heads our Third Party Management Company services from Luxembourg, providing full-fledged, turn-key and regulatory compliant solutions for asset managers. Alan joined Kinetic Partners from Deloitte where he led the Financial Risk Management service line. He also previously headed Risk Units in various banking institutions. Chris Lombardy Managing Director - New York t: e: Chris is a Managing Director in our Compliance and Regulatory Consulting Practice in New York. Chris has over 15 years experience working within the investment advisory industry in various roles including lawyer, chief compliance officer and consultant. He has worked closely with a number of hedge fund managers in all phases of their business including: formation and structuring, establishing compliance and operations infrastructures, selecting appropriate service providers, identifying and addressing risks and conflicts, performing operational due diligence reviews and preparing for and dealing with regulatory examinations. As an expert in identifying and addressing risks and conflicts of interest, Chris specializes within the investment advisory industry designing policies and procedures for hedge fund, private equity and broker dealer clients. Nick Inman Managing Director - Hong Kong and Singapore t: e: Nick is a Managing Director in our Kinetic Partners Compliance and Regulatory Consulting Practice, based in Hong Kong and is responsible for all services in Asia Pacific. He specializes in the provision of ad hoc regulatory advice as well as larger project-based consultancy work including the assessment of firms processes and procedures, the identification of any weaknesses and the design of appropriate regulatory and risk management frameworks. Over the last 10 years, he has gained significant experience across multiple jurisdictions and regulatory regimes for a wide variety of firms. Nick has been working with investment banks, brokers, asset managers and custodians, through a mixture of on-going relationships, long term secondments and standalone projects, typically thematic in nature. He has worked on projects across the regulatory spectrum including market conduct and electronic trading reviews, anti-money laundering and financial crime, conduct of business issues, governance and risk management frameworks. Nick also co-led the governance, risk and compliance consulting service offering based in London. Killian Buckley Managing Director - Ireland t: e: Killian is the Managing Director of our Dublin office and is responsible for all services in Ireland. Prior to setting up the Kinetic Partners Dublin office in 2005, Killian held a senior role with Davy Corporate Finance Limited for a number of years. Killian began his career in Investor Relations in Germany before joining AIB Corporate Finance Limited in Ireland. Killian has multi-jurisdictional regulation experience, with particular knowledge of Ireland. A graduate of Trinity College Dublin and the Michael Smurfit Graduate School of Business, Killian is a former Chair of the Irish Funds Industry Association Marketing Committee and sits on its AIFMD, Risk and Conference Working Groups.

11 11 About Duff & Phelps Kinetic Partners division Duff & Phelps, the premier global valuation and corporate finance advisor, acquired Kinetic Partners in January As a result of this transaction, Duff & Phelps has created a dedicated Compliance and Regulatory Practice, based on Kinetic Partners recognized leadership in providing regulatory consulting and compliance counsel to the financial services industry. Kinetic Partners Corporate Recovery, Forensic & Dispute, and Tax businesses will also be aligned with the Duff & Phelps business. Established in 2005, Kinetic Partners has built a multidisciplinary team of recognized experts drawn from regulators, the financial services industry and leading professional services firms. Through our deep expertise and one team global approach, we are uniquely positioned to provide a broad range of services that support clients to build, manage and protect their businesses. We collaborate across functional and geographic boundaries, deliver cost effectively and are immersed in the issues which affect our clients. Our reputation is driven by strong relationships with regulators and the industry, the quality of our service and expertise, and the value we provide to clients. We pride ourselves on the strong reputation we have built and are currently working with over 1,300 clients across our 10 global offices in New York, London, Hong Kong, Cayman Islands, Channels Islands, Chicago, Dublin, Luxembourg, Singapore and Switzerland. Within the Duff & Phelps Corporation, we are part of an expert team of over 2,000 employees across more than 70 offices globally.

12 Duff & Phelps Kinetic Partners division provides a range of award-winning regulatory, compliance, risk and infrastructure, due diligence, tax and business services to the global financial services industry. Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, dispute and legal management consulting, M&A, restructuring, and compliance and regulatory consulting. The firm s more than 2,000 employees serve a diverse range of clients from offices around the world. For more information, visit Disclaimer: This publication is for informational purposes only, and none of Duff & Phelps, Duff & Phelps Kinetic Partners division, or their related entities is, by means of this publication, rendering professional advice or services. Before making any decision or taking any action that may affect your finances or your business, you should consult a qualified professional adviser. None of Duff & Phelps, Kinetic Partners, or their related entities shall be responsible for any loss whatsoever sustained by any person who relies on this publication.

www.kinetic-partners.com Broker Dealer Services US Broker Dealer Services 1

www.kinetic-partners.com Broker Dealer Services US Broker Dealer Services 1 Broker Dealer Services US Broker Dealer Services 1 September 2013 Our Broker Dealer Services We are delighted to present details of our broker dealer services, covering registration. Please do not hesitate

More information

DEFINITIVE ADVICE PRACTICAL GUIDANCE POWERFUL ADVOCACY LLP

DEFINITIVE ADVICE PRACTICAL GUIDANCE POWERFUL ADVOCACY LLP European Funds Practice DEFINITIVE ADVICE PRACTICAL GUIDANCE POWERFUL ADVOCACY LLP European Funds Practice Dechert s international Financial Services Practice features an industry-leading group of experienced

More information

Ogier Legal Services. ogier.com. An introduction to working with us

Ogier Legal Services. ogier.com. An introduction to working with us An introduction to working with us British Virgin Islands Cayman Islands Guernsey Hong Kong Jersey Luxembourg Shanghai Tokyo An introduction to Ogier provides legal advice on BVI, Cayman, Guernsey, Jersey

More information

Preparing to become a Hedge Fund/Open-ended Fund AIFM. May 2013. March2013. Preparing to become an AIFM 1

Preparing to become a Hedge Fund/Open-ended Fund AIFM. May 2013. March2013. Preparing to become an AIFM 1 Preparing to become a Hedge Fund/Open-ended Fund AIFM May 2013 March2013 Preparing to become an AIFM 1 Complying with AIFMD We are pleased that the text of the implementing measures has been published.

More information

Asset Management. For insight and guidance tailored to the changing asset management climate of the Channel Islands. kpmg.

Asset Management. For insight and guidance tailored to the changing asset management climate of the Channel Islands. kpmg. Asset Management KPMG IN THE CHANNEL ISLANDS 3 Asset Management For insight and guidance tailored to the changing asset management climate of the Channel Islands. KPMG IN THE CHANNEL ISLANDS kpmg.com/channelislands

More information

Capital Requirements Directive Pillar 3 Disclosure. December 2015

Capital Requirements Directive Pillar 3 Disclosure. December 2015 Capital Requirements Directive Pillar 3 Disclosure December 2015 1. Background The purpose of this document is to outline the Pillar 3 disclosures for BlueBay Asset Management LLP ( BlueBay ). BlueBay

More information

Internal Audit Landscape 2014

Internal Audit Landscape 2014 Internal Audit Landscape 2014 Agenda Examining the evolution of risk in today s digital world and the impact on traditional audit, security, risk, and compliance functions Emerging internal audit methodologies

More information

www.davyfundservices.ie UCITS Platform

www.davyfundservices.ie UCITS Platform www.davyfundservices.ie Contents Section 1 1.1 Ireland as a Fund Domicile 1 1.2 About Davy Fund Services 1 Section 2 2.1 Why UCITS? 3 2.2 What can UCITS invest in? 4 2.3 4 2.4 Structure 5 2.5 Participating

More information

Manager Relocation Services

Manager Relocation Services Manager Relocation Services The Crestbridge Limited affiliation is regulated by the Jersey Financial Services Commission. Crestbridge S.A. and Crestbridge Management Company S.A. are regulated by the Commission

More information

Actuarial services that enhance performance. Insurance PRECISE. PROVEN. PERFORMANCE.

Actuarial services that enhance performance. Insurance PRECISE. PROVEN. PERFORMANCE. Actuarial services that enhance performance Insurance PRECISE. PROVEN. PERFORMANCE. Today s challenges, tomorrow s opportunities In today s ever changing insurance market, companies face more stringent

More information

FTI Consulting insurance services

FTI Consulting insurance services INSURANCE SERVICES FTI Consulting insurance services The insurance industry is operating in a complex and dynamic global environment. Low interest rates, the demand on capital and ever-changing regulation

More information

Alternative Investment Fund Managers Directive. What does this mean for your business?

Alternative Investment Fund Managers Directive. What does this mean for your business? Alternative Investment Fund Managers Directive What does this mean for your business? Background to the Alternative Investment Fund Managers Directive (AIFMD) The Alternative Investment Fund Managers (AIFM)

More information

Investment Management: Rising to the Risk and Compliance Challenge kpmg.com

Investment Management: Rising to the Risk and Compliance Challenge kpmg.com KPMG Regulatory Risk and Compliance Practice Investment Management: Rising to the Risk and Compliance Challenge kpmg.com CONTENTS New Regulatory Frontiers: Forging Ahead in a Changing Landscape 1 A Proactive

More information

Introduction to Grant Thornton s General Insurance Actuarial Services

Introduction to Grant Thornton s General Insurance Actuarial Services Introduction to Grant Thornton s General Insurance Actuarial Services Contents What our clients say about us 2 Our key principles 4 How we can help 5 Reserving 7 Solvency II 8 Independent expertise 10

More information

Fast, flawless, local. Fund Services with Intertrust

Fast, flawless, local. Fund Services with Intertrust Fast, flawless, local Fund Services with Intertrust Global reach. Local knowledge. Why is this important. An international business sees the big global picture, and combines that with local insights. With

More information

WEALTH MANAGEMENT SOLUTIONS

WEALTH MANAGEMENT SOLUTIONS WEALTH MANAGEMENT SOLUTIONS Contents Wealth management 1 Boutique approach, global solutions 3 Traditonal values, innovative thinking 4 Working in partnership 4 Protecting wealth 6 Enhancing wealth 8 Distributing

More information

Workshop: Private Fund Fee and Expense Allocations

Workshop: Private Fund Fee and Expense Allocations Workshop: Private Fund Fee and Expense Allocations November 10, 2015 Presented by Ann Gittleman & Sherif Assef 1. Introduction 2 Potential Risks for Private Funds Investor skepticism has increased as violations

More information

Fund Management Companies Guidance

Fund Management Companies Guidance 2015 Fund Management Companies - Guidance Fund Management Companies Guidance November 2015 1 Contents Part I. Delegate Oversight 2 Part II. Organisational Effectiveness 24 Part III. Directors Time Commitments

More information

Valuation and Compliance Regulatory Update

Valuation and Compliance Regulatory Update Valuation and Compliance Regulatory Update David Larsen, Managing Director, Duff & Phelps AnnMarie Croswell, Managing Director, Duff & Phelps Kinetic Partners division Duff & Phelps 1 We are your regulator

More information

Compliance Forum Committee

Compliance Forum Committee Compliance Forum Committee The Compliance Forum is the Institute's largest and it meets six times a year to discuss current issues. The Compliance Forum aim is to provide lively interaction at presentations

More information

Navigate the regulatory maze

Navigate the regulatory maze www.pwc.com.cy Navigate the regulatory maze Delivering Regulatory Compliance services to the Financial Services industry September 2014 As at July 2014 there were more than 40 licensed banking institutions

More information

The Universal Management Company

The Universal Management Company The Universal Management Company Jean Devambez, BNP Paribas Securities Services Claude Niedner, Arendt & Medernach Christopher Stuart-Sinclair, Deloitte 25 October 2013 The Universal Man Co: combine your

More information

Financial services regulatory compliance. Changing demands require the right perspective

Financial services regulatory compliance. Changing demands require the right perspective Financial services regulatory compliance Changing demands require the right perspective The role of compliance is being elevated as regulatory demands increase. Compliance leaders are facing the greatest

More information

FUND MANAGER PLATFORM

FUND MANAGER PLATFORM FUND MANAGER PLATFORM SWISS-ASIA The platform for Professionals by Professionals THE FUND MANAGER PLATFORM The Swiss Asia Fund platform allows fund managers to set up a cost effective fund solution for

More information

Fiduciary Outsourcing Services

Fiduciary Outsourcing Services Fiduciary Outsourcing Services The Crestbridge Limited affiliation is regulated by the Jersey Financial Services Commission. Crestbridge S.A. and Crestbridge Management Company S.A. are regulated by the

More information

NORTHERN TRUST HEDGE FUND SERVICES. Delivering Operational Alpha

NORTHERN TRUST HEDGE FUND SERVICES. Delivering Operational Alpha NORTHERN TRUST HEDGE FUND SERVICES Delivering Operational Alpha Solutions that drive Operational Alpha Managing hedge funds and funds of hedge funds amidst the challenges of today s market environment

More information

IIF Training 2015 Course Descriptions

IIF Training 2015 Course Descriptions IIF Training 2015 Course Descriptions Cross Industry Risk Management Executive Program on Understanding Country Risk (MENA)... 2 Executive Program on Country and Sovereign Risk Management... 3 Identifying

More information

master-feeder structures: made in luxembourg UCITS IV

master-feeder structures: made in luxembourg UCITS IV master-feeder structures: made in luxembourg UCITS IV What is a master-feeder structure? One of the main features of the UCITS IV Directive is the master-feeder structure, which provides for pooling of

More information

Experienced Independent Directors for. Investment Funds. Independence - Commitment - Expertise

Experienced Independent Directors for. Investment Funds. Independence - Commitment - Expertise Experienced Independent Directors for Investment Funds Independence - Commitment - Expertise Introduction KB Associates KB Associates is an independent consulting firm dedicated to meeting the needs of

More information

New Risk Management Paradigms for Asset Managers

New Risk Management Paradigms for Asset Managers April 2014 Asset Management New Management Paradigms for Asset Managers Point of view The financial crisis has caused deep reflection by regulators, asset managers and investors as to the effectiveness

More information

Addressing the unique needs of growing companies Deloitte s Growth Enterprise Services

Addressing the unique needs of growing companies Deloitte s Growth Enterprise Services Addressing the unique needs of growing companies Deloitte s Growth Enterprise Services Challenges faced by growth enterprises As your business partner, we are committed to help you overcome your challenges

More information

bespoken solutions amf global. your complex solutions in one balanced office financial services advisory corporate services fund services

bespoken solutions amf global. your complex solutions in one balanced office financial services advisory corporate services fund services financial services advisory corporate services fund services bespoken solutions amf global. your complex solutions in one balanced office We understand your business and suggest practical solutions tailored,

More information

Board Risk & Compliance Committee Charter

Board Risk & Compliance Committee Charter Board Risk & Compliance Charter 10 December 2015 PURPOSE 1) The purpose of the Westpac Banking Corporation (Westpac) Board Risk & Compliance () is to assist the Board of Westpac (Board) as the Board oversees

More information

APB ETHICAL STANDARDS GLOSSARY OF TERMS

APB ETHICAL STANDARDS GLOSSARY OF TERMS APB ETHICAL STANDARDS GLOSSARY OF TERMS (Revised December 2010) accounting services The provision of services that involve the maintenance of accounting records or the preparation of financial statements

More information

Briefing. A Guide to Investment Funds in the British Virgin Islands. Client briefing. February 2007. Anti-Money Laundering. Choice of Jurisdiction

Briefing. A Guide to Investment Funds in the British Virgin Islands. Client briefing. February 2007. Anti-Money Laundering. Choice of Jurisdiction February 2007 Briefing A Guide to Investment Funds in the British Virgin Islands BVI/IF/13776284 The success of the final product is dependant on making many decisions. Whether they are; determining the

More information

MiFID II/MiFIR. Implications for Fund Managers. May 2014. 2014 Deloitte LLP. All rights reserved.

MiFID II/MiFIR. Implications for Fund Managers. May 2014. 2014 Deloitte LLP. All rights reserved. /MiFIR Implications for Fund Managers May 2014 Webinar participants Manmeet Rana Senior Manager Audit Deloitte UK mrana@deloitte.co.uk +44 20 7303 8624 Manmeet Rana is a Senior Manager within Deloitte

More information

November 2011. Alternative Investment Fund Managers Directive (AIFMD) Frequently Asked Questions (FAQs)

November 2011. Alternative Investment Fund Managers Directive (AIFMD) Frequently Asked Questions (FAQs) November 2011 Alternative Investment Fund Managers Directive (AIFMD) Frequently Asked Questions (FAQs) Contents Scope In a nutshell, what is the AIFMD? 3 Who is subject to the AIFMD? 3 Can an Alternative

More information

OUTSOURCING REGULATIONS IN THE BANKING AND INSURANCE INDUSTRIES IN ASIA PACIFIC

OUTSOURCING REGULATIONS IN THE BANKING AND INSURANCE INDUSTRIES IN ASIA PACIFIC OUTSOURCING REGULATIONS IN THE BANKING AND INSURANCE INDUSTRIES IN ASIA PACIFIC Bridging Borders Webinar Series 1 Welcome Welcome You are on mute A link to a recording of the webinar will be available

More information

Trinity Fund Administration Limited. Company Profile

Trinity Fund Administration Limited. Company Profile Trinity Fund Administration Limited Company Profile INDEPENDENCE free from the control, influence, domination of others Our independence allows us the freedom to provide our clients with an unbiased, objective

More information

Continuing Legal Education Program Course Catalog

Continuing Legal Education Program Course Catalog Continuing Legal Education Program Course Catalog The Continuing Legal Education CLE program was created to provide quality continuing education to our colleagues and clients in the legal and corporate

More information

Mergers & Acquisitions. Turnaround & Restructuring. Litigation Support & Expert Testimony. Valuation Services

Mergers & Acquisitions. Turnaround & Restructuring. Litigation Support & Expert Testimony. Valuation Services Turnaround & Restructuring Litigation Support & Expert Testimony Mergers & Acquisitions Valuation Services Turnaround & Restructuring Turnaround & Restructuring Turnaround & Restructuring MCA Financial

More information

Tax, Legal, Bookkeeping & Payroll Services 2015 kpmg.hr

Tax, Legal, Bookkeeping & Payroll Services 2015 kpmg.hr KPMG IN CROATIA Tax, Legal, Bookkeeping & Payroll Services 2015 kpmg.hr High performing people cutting through complexity to deliver informed perspectives and clear solutions that our clients and stakeholders

More information

GAM. Out management company services

GAM. Out management company services GAM Out management company services Enjoy the following advantages by partnering with GAM We provide management company substance and services in Luxembourg We offer high-quality services combined with

More information

Wealth Management. Global. Informed choices

Wealth Management. Global. Informed choices Wealth Management Global Informed choices YOUR CHALLENGE There are many legal intricacies to growing and preserving wealth. Wealth management paradigms are shifting as transparency developments take hold

More information

Udyen Jain & Associates Quality and expertise that you deserve. OCA, Organisation Conseil Audit Your vision, our expertise

Udyen Jain & Associates Quality and expertise that you deserve. OCA, Organisation Conseil Audit Your vision, our expertise Udyen Jain & Associates Quality and expertise that you deserve OCA, Organisation Conseil Audit Your vision, our expertise Mikaël Ouaniche Mikaël Ouaniche is a Chartered Accountant and Legal Auditor, Graduate

More information

Gaining the competitive edge. Sports & Leisure PRECISE. PROVEN. PERFORMANCE.

Gaining the competitive edge. Sports & Leisure PRECISE. PROVEN. PERFORMANCE. Gaining the competitive edge Sports & Leisure PRECISE. PROVEN. PERFORMANCE. 2 Sports & Leisure Gaining the competitive edge Gaining the competitive edge The sports and leisure sector is a competitive and

More information

Indonesia. kpmg.com/id. Contact us. Siddharta & Widjaja Audit Services T: + 62 (0) 21 574 2333 / 574 2888 F: + 62 (0) 21 574 1777 / 574 2777

Indonesia. kpmg.com/id. Contact us. Siddharta & Widjaja Audit Services T: + 62 (0) 21 574 2333 / 574 2888 F: + 62 (0) 21 574 1777 / 574 2777 Contact us Siddharta & Widjaja Audit Services T: + 62 (0) 21 574 2333 / 574 2888 F: + 62 (0) 21 574 1777 / 574 2777 KPMG Advisory Indonesia Tax Services T: + 62 (0) 21 570 4888 F: + 62 (0) 21 570 5888

More information

Considering a London listing?

Considering a London listing? Considering a London listing? About us Over the last five years Capita Asset Services has been appointed to more Initial Public Offerings (IPO) than any other registrar. Our experience of flotation projects

More information

Impact of Regulations and Risk Management in Financial Markets in Europe

Impact of Regulations and Risk Management in Financial Markets in Europe SALES OPPORTUNITY ASSESSMENT PRODUCT CATI EMERGING MARKET ENTRY STRATEGY CUSTOMER INTELLIGENCE MARKET SIZING AND FORECASTING INDUSTRY BEST PRACTICE CUSTOMER NEED BEST PRACTICE ASSESSMENT COMPETITIVE INTELLIGENCE

More information

FATCA: An Update DETAILS PROGRAMME CPD COST. Thursday 21st February 2013. Venue: Pomme d Or Contact: T: 01534 876513 F: 01545 878509

FATCA: An Update DETAILS PROGRAMME CPD COST. Thursday 21st February 2013. Venue: Pomme d Or Contact: T: 01534 876513 F: 01545 878509 FATCA: An Update Thursday 21st February 2013 SPEAKERS: Alex Jones and Paul Woodman (Deloitte) Review of the current status of the US FATCA rules and UK/Channel Islands Intergovernmental Agreements, with

More information

Finance in Private Equity Course

Finance in Private Equity Course BVCA Professional Development Programme Finance in Private Equity Course 9-10 June 2014 2 day course, at: King & Wood Mallesons SJ Berwin Thames Exchange, 10 Queen Street Place, London, EC4R 1BE 020 7111

More information

Global Dispute Resolution Practice

Global Dispute Resolution Practice Global Dispute Resolution Practice An introduction to working with us British Virgin Islands Cayman Islands Guernsey Hong Kong Jersey Luxembourg Shanghai Tokyo About Ogier Ogier provides legal advice on

More information

AGN INTERNATIONAL. Yo u r D o o r t o Wo r l d w i d e B u s i n e s s

AGN INTERNATIONAL. Yo u r D o o r t o Wo r l d w i d e B u s i n e s s A Worldwide Association of Separate and Independent Accounting and Consulting Firms Yo u r D o o r t o Wo r l d w i d e B u s i n e s s Our mission is to provide the highest level of information and professional

More information

Whether you seek to BROADEN, DEEPEN, OR SIMPLY REFRESH YOUR SKILLS, Consider F nultima

Whether you seek to BROADEN, DEEPEN, OR SIMPLY REFRESH YOUR SKILLS, Consider F nultima Whether you seek to BROADEN, DEEPEN, OR SIMPLY REFRESH YOUR SKILLS, Consider F nultima F nultima Our trainers have successfully delivered training programmes for some of the top global organizations (

More information

Consultation on Fund Management Company Effectiveness Delegate Oversight. Consultation Paper CP 86

Consultation on Fund Management Company Effectiveness Delegate Oversight. Consultation Paper CP 86 2014 Consultation on Fund Management Company Effectiveness Delegate Oversight Consultation Paper CP 86 1 Contents Introduction 2 Fund Management Company Effectiveness - Delegate Oversight 2 Questions for

More information

Public consultation on Building a Capital Markets Union

Public consultation on Building a Capital Markets Union Case Id: 6793f8c7-c6ef-45dd-8987-665fe5775337 Date: 13/05/2015 23:30:38 Public consultation on Building a Capital Markets Union Fields marked with * are mandatory. Introduction The purpose of the Green

More information

Cayman Islands Companies: The Asia Connection

Cayman Islands Companies: The Asia Connection BERMUDA BRITISH VIRGIN ISLANDS CAYMAN ISLANDS CYPRUS DUBAI HONG KONG LONDON MAURITIUS MOSCOW SÃO PAULO SINGAPORE conyersdill.com December 2010 Cayman Islands Companies: The Asia Connection The Cayman Islands

More information

capital market credentials trusted to deliver

capital market credentials trusted to deliver capital market credentials trusted to deliver Contents About SMP Partners Introduction Breadth of Services The Isle of Man the preferred international jurisdiction Capital Market Credentials: International

More information

DIPLOMA IN FUND ADMINISTRATION

DIPLOMA IN FUND ADMINISTRATION PROFESSIONAL T R A I N I N G CLT INTERNATIONAL DIPLOMA IN FUND ADMINISTRATION A practical qualification for Fund Administrators with academic accreditation awarded in association with the University of

More information

Automatic Exchange of Information

Automatic Exchange of Information Automatic Exchange of Information The Common Reporting Standard: helping clients kpmg.com Building on FATCA: getting ready for the Common Reporting Standard The Organisation for Economic Co-operation and

More information

2015 GLOBAL ASSET MANAGEMENT SURVEY

2015 GLOBAL ASSET MANAGEMENT SURVEY 2015 GLOBAL ASSET MANAGEMENT SURVEY It's not what happens to you, but how you react to it that matters." -Epictetus A survey carried out globally by Linedata. INTRODUCTION It's not what happens to you,

More information

Recognition of Funds (MRF) A new era for asset management in China and Hong Kong

Recognition of Funds (MRF) A new era for asset management in China and Hong Kong www.pwchk.com Mainland and Hong Kong Mutual Recognition of Funds (MRF) A new era for asset management in China and Hong Kong Getting ready to access the China and Hong Kong asset management markets Foreword

More information

Internal Audit Terms of Reference

Internal Audit Terms of Reference Internal Audit Terms of Reference Introduction 1. The Internal Audit Terms of Reference (ToR) describes the framework within which the Internal Audit Service is delivered. It is intended to act as a guide

More information

As an investment manager, you need. to efficiently run back- and middle-office. operations so you can concentrate on your

As an investment manager, you need. to efficiently run back- and middle-office. operations so you can concentrate on your O P E R A T I O N A L A N D C O S T E F F I C I E N C I E S F O R A C O M P E T I T I V E E D G E I n v e s t m e n t O p e r a t i o n s O u t s o u r c i n g F O C U S O N Y O U R C O R E S T R E N G

More information

Wealth Management. Guiding private client investment strategies. Wealth management as it should be

Wealth Management. Guiding private client investment strategies. Wealth management as it should be Wealth Management Guiding private client investment strategies Wealth management as it should be Managing private client wealth for over a century At Smith & Williamson Investment Management, our focus

More information

INDEX SERIES FTSE PUBLICATIONS. FTSE ETF Issuer Services.

INDEX SERIES FTSE PUBLICATIONS. FTSE ETF Issuer Services. INDEX SERIES FTSE PUBLICATIONS FTSE ETF Issuer Services. BEIJING BOSTON DUBAI HONG KONG LONDON MILAN MUMBAI NEW YORK PARIS SAN FRANCISCO SHANGHAI SYDNEY TOKYO FTSE FTSE Group ( FTSE ) is a world-leader

More information

Services to Law Firms

Services to Law Firms Services to Law Firms Working in partnership with you Contents 3 3 3 5 5 7 7 7 9 9 9 9 About Begbies Traynor Group Why Work With Begbies Traynor Group? International Coverage Restructuring Corporate Insolvency

More information

WHITE PAPER. Governance, Risk and Compliance (GRC) - IT perspective

WHITE PAPER. Governance, Risk and Compliance (GRC) - IT perspective Governance, Risk and Compliance (GRC) - IT perspective Introduction Current regulatory and economic conditions have created a need for financial services firms to accurately scale required levels of regulatory

More information

new york offi ce Latitude N 40 42' 36" Longitude W 74 0 0"

new york offi ce Latitude N 40 42' 36 Longitude W 74 0 0 new york offi ce 40 Latitude N 40 42' 36" Longitude W 74 0 0" New York Luxembourg, your entry point to Europe Ideally situated at the cross-roads between France, Belgium and Germany, Luxembourg is a small

More information

White Outsourcing. Provider of accounting, investment administration and custodial services. October 2014

White Outsourcing. Provider of accounting, investment administration and custodial services. October 2014 White Outsourcing Provider of accounting, investment administration and custodial services October 2014 White Outsourcing Pty Limited Level 3, 99 Bathurst Street SYDNEY NSW 2000 Telephone: +61 2 8262 2800

More information

For Private circulation only www.deloitte.com/in. Creative. Clear. Focused. Forensic Services

For Private circulation only www.deloitte.com/in. Creative. Clear. Focused. Forensic Services For Private circulation only www.deloitte.com/in Creative. Clear. Focused. Forensic Services Do you conduct background checks on employees and vendors? Do you educate employees about the importance of

More information

Offices: Dubai: Abu Dhabi: Sharjah:

Offices: Dubai: Abu Dhabi: Sharjah: Offices: Dubai: P.O.Box 9371 Jumeirah Emirates Towers - level 35 Sheikh Zayed Road Dubai, UAE. Tel: +971 4 330 3900 Fax: +971 4 330 3800 Email: dubai@afridi-angell.com Abu Dhabi: P.O.Box 3961 Al Ghaith

More information

wealth management Insights on... P o r t r a i t o f t h e F a m i l y O f f i c e Offices that Serve Families with Exceptional Wealth

wealth management Insights on... P o r t r a i t o f t h e F a m i l y O f f i c e Offices that Serve Families with Exceptional Wealth Insights on... wealth management P o r t r a i t o f t h e F a m i l y O f f i c e Offices that Serve Families with Exceptional Wealth In 1889, Byron Laflin Smith a respected banker in Chicago, Illinois

More information

Advisory services. Services beyond the audit

Advisory services. Services beyond the audit Advisory services Services beyond the audit Contents Solutions for a changing accounting landscape...1 Complex accounting advisory...3 Transaction advisory...4 Finance...5 Actuarial and insurance...6 Finance

More information

Hedge Funds Ireland. Providing insights on Hedge Funds

Hedge Funds Ireland. Providing insights on Hedge Funds Hedge Funds Ireland Providing insights on Hedge Funds Ireland is a jurisdiction that is synonymous with hedge funds. After all, over 40% of global hedge funds are serviced in Ireland, making it the largest

More information

Audit Committee. Directors Report. Gary Hughes Chairman, Audit Committee. Gary Hughes Chairman, Audit Committee

Audit Committee. Directors Report. Gary Hughes Chairman, Audit Committee. Gary Hughes Chairman, Audit Committee Audit Committee Dear Shareholder, We are satisfied that the business has maintained robust risk management and internal controls, supported by strong overall governance processes, and that management have

More information

Apex Fund Services (Cayman) Ltd. Registered Office. Corporate Services. Directorships. Company Formation

Apex Fund Services (Cayman) Ltd. Registered Office. Corporate Services. Directorships. Company Formation Apex Fund Services (Cayman) Ltd. Registered Office Corporate Services Directorships Company Formation Services Registered Office: maintenance of a registered office for Cayman entities Directorships: providing

More information

Corporate Governance. Document Request List Funds

Corporate Governance. Document Request List Funds Document Request List Funds Please provide documents noted below, as applicable, in English. For new funds or existing funds where requested documents are currently being developed, please provide draft

More information

Tax @ KPMG. kpmgcampus.com

Tax @ KPMG. kpmgcampus.com Tax @ KPMG kpmgcampus.com b Tax @ KPMG Tax @ KPMG 1 We are making a significant investment in our people to help them grow and develop at KPMG Tax. Skip Robichaux, Tax Partner and People Leader The world

More information

Wealth Management. Instinctively global

Wealth Management. Instinctively global Wealth Management Instinctively global In an integrated global economy clients need an integrated global law firm The wealth management landscape is changing and with it the needs of our clients. An instinctively

More information

Guide to Listing Investment Funds on the Irish Stock Exchange

Guide to Listing Investment Funds on the Irish Stock Exchange Guide to Listing Investment Funds on the Irish Stock Exchange Contents Guide to Listing Investment Funds on the ISE Why List? Page 3 Our Experience Page 4 Listing Application Procedures Page 5 - Drafting

More information

Services and Capabilities. Financial Services Transfer Pricing

Services and Capabilities. Financial Services Transfer Pricing Services and Capabilities Financial Services Transfer Pricing Our team of experts offers an unmatched combination of economic credentials, industry expertise, and testifying experience. FINANCIAL SERVICES

More information

Wealth Management. Guiding private client investment strategies. Wealth management as it should be

Wealth Management. Guiding private client investment strategies. Wealth management as it should be Wealth Management Guiding private client investment strategies Wealth management as it should be Managing private client wealth for over a century At Smith & Williamson Investment Management, our focus

More information

INTELLIGENCE GROWTH AGILITY

INTELLIGENCE GROWTH AGILITY INTELLIGENCE GROWTH AGILITY Moore is a leading specialist provider of global fund administration and management services. But when you get below the surface there is so much more to us. We pride ourselves

More information

services system Reports Act 1988 (Cth) Australia has a sophisticated and stable banking and financial services system.

services system Reports Act 1988 (Cth) Australia has a sophisticated and stable banking and financial services system. FINANCIAL SERVICES Australia has a sophisticated and stable banking and financial services system Australia has a sophisticated and stable banking and financial services system. The banking system is prudentially

More information

Special purpose vehicles. Family trust administration, full trusteeship services

Special purpose vehicles. Family trust administration, full trusteeship services Fiduciary Services New Street Management Limited provides trust and corporate fiduciary services and is licenced by the Guernsey Financial Services Commission. We provide institutional and private clients

More information

Cayman and Singapore: Still an attractive combination

Cayman and Singapore: Still an attractive combination BERMUDA BRITISH VIRGIN ISLANDS CAYMAN ISLANDS CYPRUS DUBAI HONG KONG LONDON MAURITIUS MOSCOW SÃO PAULO SINGAPORE conyersdill.com March 2012 Cayman and Singapore: Still an attractive combination Singapore

More information

Captive & Insurance Management

Captive & Insurance Management Aon Risk Solutions Global Risk Consulting Captive & Insurance Management Location of captive parent company 500+ captives 250-500 captives 51-249 captives 10-50 captives

More information

Guernsey. Guernsey. Regulator Guernsey Financial Services Commission, PO Box 128, Glategny Court, Glategny Esplanade, St Peter Port, Guernsey GY1 3HQ

Guernsey. Guernsey. Regulator Guernsey Financial Services Commission, PO Box 128, Glategny Court, Glategny Esplanade, St Peter Port, Guernsey GY1 3HQ Infrastructure...23 Hedge fund... 8 Fund of hedge fund... 17 Emerging markets... 11 Balanced... 2 Other... 51 Total... 713 Domiciled and administered fund assets total: 179.7 billion Domiciled and administered

More information

HUDSON SALARY GUIDES 2015

HUDSON SALARY GUIDES 2015 Singapore HUDSON SALARY GUIDES 2015 Financial Services about this publication This Salary Guide is a compilation of salary and market information provided by Hudson consultants, clients, candidates and

More information

The Role of a Prime Broker

The Role of a Prime Broker The Role of a Prime Broker Prime brokers offer a core service where hedge funds can access a wide range of markets and products. In broad terms, the prime broker acts as a conduit between hedge funds and

More information

Industry-leading Credit Risk Solutions

Industry-leading Credit Risk Solutions Industry-leading Credit Risk Solutions About Us Fitch Solutions provides a range of industry-leading products and professional development services to the global financial community. In addition to offering

More information

How to start a Hedge Fund

How to start a Hedge Fund How to start a Hedge Fund How to start a Hedge Fund Introduction When setting up a hedge fund, you will need to consider the following matters: Jurisdiction Fund structure Eligible investors Authorisation

More information

Fund Services Intelligence

Fund Services Intelligence Fund Services Intelligence AIF & UCITS platforms Launching or transferring your vehicle Processing risk management Providing investment management Servicing your structure We look after regulatory tasks

More information

Effective Internal Audit in the Financial Services Sector

Effective Internal Audit in the Financial Services Sector Effective Internal Audit in the Financial Services Sector Recommendations from the Committee on Internal Audit Guidance for Financial Services: How They Relate to the Global Institute of Internal Auditors

More information

Securing the best financial services talent for your business

Securing the best financial services talent for your business Securing the best financial services talent for your business The power of people Offices globally About Cobalt Recruitment Cobalt Recruitment was set up in London over a decade ago to provide specialist

More information

Dillon Eustace Regulatory and Compliance Services

Dillon Eustace Regulatory and Compliance Services Dillon Eustace Regulatory and Compliance Services Contents Dillon Eustace Regulatory and Compliance Services 1. Dillon Eustace Regulatory and Compliance Services Page 3 2. Start Up Authorisations Page

More information

CRiTiCaL THiNKiNG at THe CRiTiCaL TiMe. cross BOrDer INSOlveNcy AND ASSeT recovery

CRiTiCaL THiNKiNG at THe CRiTiCaL TiMe. cross BOrDer INSOlveNcy AND ASSeT recovery CRiTiCaL THiNKiNG at THe CRiTiCaL TiMe cross BOrDer INSOlveNcy AND ASSeT recovery Table of Contents 1 ABOUT US 2 key messages 3 FTI overview 4 WHO WE ARE 5 OUR capabilities 6 OUR DIFFERENTIATING FACTORS

More information

Hong Kong is increasingly seen as a necessary operations

Hong Kong is increasingly seen as a necessary operations 1 TIMOTHY LOH Financial Services & Law Review Setting Up In Hong Kong: A Guide for the Finance Industry Hong Kong is increasingly seen as a necessary operations center for the financial industry. It is

More information