Compliance and Regulatory Consulting services for the financial services industry.

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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.korek@kinetic-partners.com 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.melis@kinetic-partners.com 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.shrimpton@kinetic-partners.com 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.picone@kinetic-partners.com 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.lombardy@kinetic-partners.com 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.inman@kinetic-partners.com 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.buckley@kinetic-partners.com 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.

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