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Regulatory compliance services

Many investment professionals want to conduct regulated activities but don’t want the burden of building a full in-house compliance team.

We have a deep bench of global regulatory compliance expertise to meet the needs of asset managers worldwide. We help you stay compliant with industry best practices and regulatory requirements across relevant jurisdictions, including India’s SEBI and GIFT City’s SEZ and IFSCA.

For regulated firms, we provide BAU compliance tasks, ongoing advisory support, secondments, and project work. For unregulated firms, we can manage the process of gaining relevant registrations, authorisations and licences.

Our compliance services are underpinned by proprietary software, MaxComplyTM and gVue.

  • Operational compliance
  • SEZ compliance
  • IFSCA compliance
  • Trustee compliance
  • Other compliances for GST, IEC, RCMC and all other statutory registrations done
  • Compliance for fund setup in GIFT

We provide a ‘one-stop shop’ back-office outsourcing solution to help you manage compliance risks and administrative burdens as your business expands. With our support, your company can continue to grow while avoiding standard business bottlenecks. Our tailor-made solutions enable you to focus on your core activities, while retaining the entrepreneurial speed and agility needed to remain compliant.

Contact us today to learn more about how we can help you.

 

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Working with IQ-EQ has been seamless – you and your team understand our business, advise us appropriately, and handle your side of our collective partnership so that we can focus on making good investment decisions. Evan Gibson SVP, Merchants Capital

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