Fund Distribution & AM Regulatory Consulting

Cross-border distribution advisory assistance

Our Fund Distribution specialists are providing a complete and personalised cross-border fund registration service in all targeted key distribution markets across Europe, Asia, Latin America and the Middle East. From the market entry strategy to the on-going maintenance and reporting, our experienced team supports investment companies in:

  • accessing the targeted markets as quickly as possible thanks to our strong experience and market knowledge
  • improving the risk monitoring of their products with our expertise on regulatory developments impacting the asset management and asset servicing industry
  • optimizing the operational costs as our team becomes the central point of contact between clients, Home/Host Authorities and service providers

Our offering is not limited to the basic services linked to the fund registration activity, we are also able to provide a full range of various additional ad-hoc services according to our clients’ needs and expectations.

Our services include:

Cross border distribution services - overview graph

Key Activities

  • Defining the distribution strategy to determine:
    • the right fund to sell
    • in the right jurisdictions
    • to the appropriate investors
    • via the best distribution channel
  • Assist with the assessment of markets from the demand and supply perspective
  • Aiming to describe step by step how to notify, register or pre-market and how to cope with all compliance and reporting tasks related to marketing a fund range on a given distribution country

Key Activities

  • UCITS and AIF's notifications in EU and all international market using passporting or national private placement regimes outside EU:
    • Preparation and compilation of the notification package including country specific disclaimers
    • Submission to relevant Authority and follow-up of the status of the notification with relevant Authority
    • Update of the registration matrix and confirmation to client
  • AIF notifications of pre-marketing in EU

Key Activities

  • Facilitating the registration maintenance by liaising directly with the host authorities and performing all the regulatory fillings of updated fund documentation
  • End to end platform monitoring the registration process enabling clients to access fund registration data and news alerts, as well as to issue instructions to our team, to track the progress of existing projects and to control the invoicing process including a follow-up of the KPI's
  • Performing a permanent regulatory monitoring:
    • Regulatory watch of the local laws and regulations impacting the distribution countries
  • Trigger Management
    • Monitoring important events in the life of the funds and informing our clients in advance in order to perform the required fillings/reporting within the regulatory deadline

Key Activities

  • Provide relevant management reporting and KPI's
  • Dedicated CRM managing all aspects of the registration process across the targeted jurisdictions by building a strong relationship with the client and ensuring the overall monitoring service as follows:
    • Organising weekly or bi-weekly status meetings or conference calls with the client
    • Cost analysis in light of the registration requests for each targeted jurisdiction
    • Regular update of the status of the notification packages highlighting information/documents required to complete the submission to regulators
    • Issuing clear and transparent invoices as well as KPI's through the fund registration platform
    • Guiding the client through the fund registration platform
  • Escalation procedure in case of non-compliance with the agreed-upon services

Key Activities

  • Coordination of translation
  • Publication in various media
  • Review of client's website
  • Review of contracts with third parties
  • Assistance at client's premises
  • Review of marketing material
    • Initial review of template and related country driven marketing disclosures and disclaimers
    • Ongoing review of regulatory changes and content related changes according to how the marketing material is shared with the targeted distribution country
    • Monitoring of local regulatory changes related to marketing material disclosures
  • Country specific reporting
  • Private Placement studies

Key Contact