Investment Compliance Monitoring

The experts at Duff & Phelps offer an investment compliance monitoring (ICM) review service to assist investment managers in mitigating this risk.

Investment managers are facing increasing regulatory and client pressure to demonstrate that they have effective pre- and post-trade monitoring programs in place. Failure to do so can result in costly client compensation and organizational inefficiencies which contribute to regulatory and reputational risks. Duff & Phelps offers an investment compliance monitoring (ICM) review service to assist investment managers in mitigating this risk.

Optimization of ICM processes can balance the competing demands of customers and asset management executives in meeting cost pressures.

Alignment of risk management with the ICM function can aid delivery of an organization’s risk objectives.

Duff & Phelps draws on the following expertise and approach for its ICM engagements:

  • Expert knowledge in AIFMD, UCITS and investment mandate compliance issues
  • Industry experience as in-house compliance specialists
  • Detailed understanding through review and analysis of existing approach and system capability
  • Assessment of the current ICM program
  • Improvement in data quality and assessment processes

We can help investment managers in the following areas:

  • Review of the current rule extraction methodology
  • Review of the completeness of the coding methodology
  • Review of the effectiveness of rule existing rule library
  • Offer guidance on interpretative issues in relation to rule or investment restrictions
  • Assess the effectiveness of the design of the ICM operating model 
  • Advice on process improvement
  • Enhance the overall governance framework and management practices 
 
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