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Fund and Fund Manager Compliance services

There are increasing fund and fund manager compliance requirements required by the Common Reporting Standard (CRS) and the UK and US Foreign Account Tax Compliance Acts (FATCA) adding to the complexities of doing business. As a fund manager it can be hard to keep up with all the global standards of investment fund regulation, compliance obligations including GDPR, KYC and reporting deadlines. Through our range of fund manager compliance services, we help ease the burden and ensure you meet your compliance needs and your fund’s compliance and regulatory obligations.

IQ-EQ Compliance Services understand the issues and the problems from a practical point of view. Our team are experts in fund regulation, investment and hedge fund compliance, money market fund regulation and more, having worked for the regulators and with clients. We combine innovative RegTech solutions with our industry expertise to provide compliance services, including regulatory authorisation and ongoing compliance monitoring and tax compliance with FATCA and CRS.

Anti-Money Laundering Compliance Solutions

Complying with the latest anti-money laundering (AML) regulations can be a huge challenge, time consuming and very expensive if you don’t get it right.

MaxComply, our anti-money laundering compliance software includes workflow management software to easily manage surveillance, preventing money laundering and the potential to fund terrorism. It supports the fourth EU anti money laundering directive which includes registering beneficial ownership and taking a risk-based approach to overseeing anti money laundering compliance.

Compliance On-boarding Solutions

Are you taking too much risk and spending too much time on-boarding investors or clients? For example, your hedge fund compliance processes may require review. Outsourcing compliance to IQ-EQ gives you access to external, sector-specific compliance and structuring resources that might not exist within your organisation otherwise. Compliance outsourcing allows for a flexible, long-term and short-term response to variable workloads.

FCA Compliance Consulting

As an FCA authorised firm, you want to focus on your core activities and ensure your business is compliant. This can be challenging when the regulatory landscape is constantly evolving.  The IQ-EQ Compliance Consulting team is comprised of qualified experts providing responsive and pragmatic compliance support.

Our services include:

  • Up to date compliance manuals and procedures
  • Ongoing compliance monitoring
  • Compliance reporting (both internal and to the FCA)
  • Regulatory change implementation/mitigation
  • Compliance training
  • Automation of attestations and gifts register through our Reg-Tech software solution.

FCA Authorisation and Registration

You are seeking to perform regulated activities in the UK which requires authorisation from the Financial Conduct Authority (FCA). Obtaining authorisation can be a difficult and time consuming process as the regulator will examine your firm’s business model; ownership and control structure; governance arrangements; scalability and adequacy of resources and which individuals are performing regulated activities.

Our specialist independent FCA compliance team has a successful track record in preparing applications for FCA authorisation and registration and ensuring a smooth approvals process. We do not adopt a one size fits all approach, but work with you to develop the FCA application pack to ensure that every aspect of your newly formed firm’s activities are understood and documented. This ensures that your firm’s application fulfils the FCA’s threshold conditions and provides you with a workable compliance solution within your business. We guide and support you through the process with the following services;

  • Application for FCA authorisation.
  • Applying for Change in Control.
  • Variation of Permissions.
  • Passporting Applications.
  • Approved Persons.
  • Standing Data.
  • On-going compliance support.
  • Compliance training and support.

AIFMD reporting

All AIFMs have to report data and information to their regulators with reporting scope determined on an AIFM basis, not just on a fund basis. Non-EU managers marketing funds in Europe are required to report separately in each country they are marketing in. AIFMD reporting formats, methodologies and technology standards can be different across Europe.

We guide you through the complexities of AIFM reporting requirements and assist with the creation, management and delivery of the reports to ensure you are compliant in the jurisdictions your fund is marketed.

IQ-EQ AIFMD Reporter is a leading AIMFD RegTech solution, providing up to date information on the AIFM reporting requirements for each of the EU member states and their regulators. The reporting system has in-built checks to validate the data and highlight any omissions. Once all the final checks have been completed and verified, the system will deliver it to all your regulators, in the correct format.

You can use it independently, have access to our support helpline or we provide a complete solution to the management and implementation of your AIFMD regulatory reporting.

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Our people expertly combine their know how with an ability to know you. Get in touch and give us an opportunity to get to know you and your needs better.

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