Regulatory, compliance & fund registration

The investment fund industry is facing a highly complex regulatory environment. Within the cross-border distribution world, mutual funds have to cope with a vast number of existing laws, rules and regulations at the level of the European Union, their home domicile as well as the targeted countries.

Deloitte can help you master the high complexity of requirements in such a multi-jurisdictional environment.

Regulatory compliance and fund registration challenges

UCITS IV has provided an improved time to market, but KIID administration still proves difficult for some. For those managers with non-UCITS, they should follow-closely the developments in and around AIFMD in order to market within the rules and capture opportunities.

At a broader scale, players need to keep up-to-date with EU developments in areas like AIFMD, UCITS V and VI, MiFID, EMIR, AML, and regulations from outside Europe such as FATCA, Volker Act and the Hong Kong Code on Mutual Funds. 

Investment funds regulatory environment

Find below a synthesis of the regulatory framework impacting investment fund industry:


Our regulatory, compliance & fund registration services

Compliance Hotline

  • Direct contact to compliance specialists
  • Independent and expert advice
  • Volume resistant support grouped into three categories of compliance issues:

◦ Investment Restriction

◦ Marketing material review

◦ Business compliance

UCITS and AIFM fund marketing passporting and registrations

  • Fully managed registration and post-registration of UCITS and non-UCITS funds in foreign jurisdictions
  • Central point of contact and liaison between client and local regulatory authorities in target markets, and with third party service providers
  • Coordination of prospectus changes
  • Advisory on compliance with regulatory reporting obligations
  • Outsourcing of statistical regulatory reporting
  • Ad-hoc assistance in appointing local representatives

KIID Production and Dissemination

  • Fully managed UCITS KIID production and dissemination (and non-UCITS KIIDs where required)
  • High quality purpose build desktop publishing tool with many logic controls and ease of use
  • High quality, high value added human contribution to ensure the registration matrix is accurate, data is captured and stored correctly…
  • Synergies with fund registration, improving control and time to make it.

EMIR and AIFMD regulatory reporting

  • Fully managed AIFM Regulatory Reporting solution
  • Assistance to meet the regulatory deadlines and identify data sources and owners
  • Data mapping and scrubbing to create true records
  • High quality, high value added data enrichment where necessary
  • Leading base of professional support and advice available during transition and thereafter


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

François-Kim Hugé

François-Kim Hugé

Partner | Fund Registration Services

François-Kim is a partner within the advisory & consulting department. He is currently in charge for running the Fund Registration Services, incl. the KIID Factory and AIFMD Notification Services. He ... More