Fund Comms in a box - Marketing Compliance regulatory


Fund Comms in a box

Turn regulatory compliance into a success story

Triggered by the extension of the marketing passport to the alternative world and the increased penetration of foreign funds into local markets, compliance with local marketing rules has become the central point of concern to many regulators.

Increased risks of sanctions and claims

Local regulators are paying more and more attention to marketing communications on funds and financial services. Some have issued warning statements on detected breaches, whilst others have gone a step further and issued fines for non-compliance. This trend is likely to increase with the new sanction regime introduced by UCITS V.

Being in breach of local regulations will also expose Management Companies to investor claims.

Management Companies face a myriad of regulations impacting their marketing communications

Despite market entry being simplified across the European Union, marketing activities remain largely governed by local rules. This means that marketing communications must comply with multiple local requirements based mainly on consumer protection rules e.g. performance disclosure, warning statements and additional practical information. This will impact funds’ factsheets, websites and marketing teasers to name but a few.

Deloitte enables you to master your compliance challenges

Our Fund Comms in a box can help you master your compliance challenges. Our solution comprises a span of fully customisable services, ranging from a fully managed outsourced solution to the provision of customised tools to support your in-house processes.

With experts at the forefront of market developments, covering 70+ markets, Deloitte provides excellence and quality to help you meet regulators’ expectations and implement best market practices. We have direct contact with regulators to bring you the latest regulatory compliance solutions.

Deloitte’s Fund Comms in a box

Deloitte’s Marketing Communication Compliance Toolbox


Lou Kiesch

Lou Kiesch

Partner | Regulatory Consulting Leader

Lou joined Deloitte in November 2001 as Director in the Risk Advisory department, where he currently heads up the Compliance and Regulatory Practice. Since June 2005, he is partner within Deloitte’s R... More