Compliance
You win client mandates for solid investment strategies, but you lose them for not having solid compliance frameworks in place.
All investment managers benefit from compliance support that has high standards, is market relevant and facilitates the business. Falk Compliance will be there to partner with your business, provide support and have your back.
Compliance
You win client mandates for solid investment strategies, but you lose them for not having solid compliance frameworks in place.
All investment managers benefit from compliance support that has high standards, is market relevant and facilitates the business. Falk Compliance will be there to partner with your business, provide support and have your back.
Robust, pragmatic and business relevant
Compliance support needs to be smart, relevant, and pragmatic. Falk compliance ensures a robust second line function and offers services for those who want business relevant and clear advice that facilitates the business in the right way, within regulatory frameworks and the high market standards expected from clients, investors and regulators.
Robust, pragmatic and business relevant
Compliance support needs to be smart, relevant, and pragmatic. Falk compliance ensures a robust second line function and offers services for those who want business relevant and clear advice that facilitates the business in the right way, within regulatory frameworks and the high market standards expected from clients, investors and regulators.
Robust, pragmatic and business relevant
Compliance support needs to be smart, relevant, and pragmatic. Falk compliance ensures a robust second line function and offers services for those who want business relevant and clear advice that facilitates the business in the right way, within regulatory frameworks and the high market standards expected from clients, investors and regulators.
Facilitating the business
Advisory service and outsourced partner to strengthen the independent oversight and governance structure for clients.
- Guidance on meeting regulatory requirements related to asset management and fund structures.
- Advice on how to operate a professional compliance function to the highest standard.
- Hands on experience of regulatory and policy implementation for asset management and regulated investment businesses.
- Policy and procedure implementation – MiFID II, AIFMD, MAR, Conflicts of interest, Anti Money Laundering, ESG Regulations – SFDR, Taxonomy, and marketing regulations.
Facilitating the business
Advisory service and outsourced partner to strengthen the independent oversight and governance structure for clients.
- Guidance on meeting regulatory requirements related to asset management and fund structures.
- Advice on how to operate a professional compliance function to the highest standard.
- Hands on experience of regulatory and policy implementation for asset management and regulated investment businesses.
- Policy and procedure implementation – MiFID II, AIFMD, MAR, Conflicts of interest, Anti Money Laundering, ESG Regulations – SFDR, Taxonomy, and marketing regulations.
Facilitating the business
Advisory service and outsourced partner to strengthen the independent oversight and governance structure for clients.
- Guidance on meeting regulatory requirements related to asset management and fund structures.
- Advice on how to operate a professional compliance function to the highest standard.
- Hands on experience of regulatory and policy implementation for asset management and regulated investment businesses.
- Policy and procedure implementation – MiFID II, AIFMD, MAR, Conflicts of interest, Anti Money Laundering, ESG Regulations – SFDR, Taxonomy, and marketing regulations.
