Deloitte Investment Compliance Service


Deloitte Investment Compliance Service

All from a single point of contact

An extra member of the team

The many regulations, limits and restrictions and how they interact with one another can often pose more questions than answers.

The Investment Compliance Service team can help you unravel and better understand the regulations, limits and restrictions, the effect they can have on one another and how they can be applied to a situation you may be facing.

Deloitte shares the regulatory intelligence and commonly observed market practices to help you to make the most appropriate decisions for your particular situation.

Simply state the situation you wish to be addressed such as “What disclosures do I need to make on sustainability in my funds”,  along with any supporting documentation and Deloitte will prepare a response and follow ups where necessary.

Through this single point of contact you have access to the pool of Deloitte specialists in the area of investment compliance.


Eligible assets, markets, benchmarks

You may already suspect a target asset is eligible but would like confirmation or perhaps your own team’s time would be better spent on more urgent things than making the analysis. Let Deloitte quickly provide you with a response.

The Deloitte Investment Compliance Service can help you determine the eligibility of the target assets by performing analysis against the applicable rules for such assets as structured securities, Exchange Traded Products, ABS and MBS, etc.

The team can perform look-throughs on embedded derivatives, assess the eligibility of MTFs, third country and over-the-counter markets.

Do you perform regular checks on indices that underlie your UCITS Exchange Traded Funds? Deloitte can make the appropriate checks with EU and local rules and take a sampling of underlying assets to help ensure the index remains compliant.

The service provides you with a single point of contact for all your investment compliance needs.

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