COMPLIANCE, RISK AND LEGAL

Setting up and running a fund involves adherence to considerable regulation – adapting to continual developments and requirements within the UK and Europe. At Yealand it is our responsibility to ensure the fund and all parties involved in running the fund comply with the ever changing regulatory landscape.

Our Compliance and Risk experts will manage the day to day aspects of the fund – from monitoring against the investment risk to meeting mandatory reporting standards – ensuring it achieves continued compliance with all applicable regulations.

Our Compliance and Risk service includes:

• Fund Reporting
• Monitoring the Funds’ investment & borrowing
• Product Governance
• Overseeing delegated functions (Administrator & Investment Manager)
• Communication with the FCA
• Regulatory Change Management

Using our in-house expertise for setting up new structures, we assist investment managers and sponsors on the most appropriate structure as well as the operational and regulatory responsibilities of a fund. This assistance encompasses everything from the initial idea right through to setting up, operating and reporting requirements of a fund.