regulatory compliance hotline

Solutions

Regulatory Compliance Hotline

Responding with confidence

We help you facing regulatory challenges, with a compliance support service on a broad range of subjects including UCITS, AIFMD, AML, MiFID, CSSF Circular 18/698 and all aspects of investment fund regulation. We provide also a dedicated telephone and email hotline service answering business, investment and marketing compliance questions within 48 hours.

Context

In today’s rapidly evolving environment, compliance departments and other responsible (governing) bodies face many regulatory challenges with finite resources.

The Regulatory Compliance Hotline is part of the suite of AM compliance services offered by Deloitte.

The purpose of the Regulatory Compliance Hotline service is to provide expert advice on regulatory compliance queries an asset manager or its service providers may encounter.

PDF - 1.2mb

How does it work

Within the Regulatory Compliance Hotline, you can directly request Deloitte’s assistance in answering specific questions related to three main categories.

Investment Compliance relates to the eligibility of assets, their categorization and the investment restrictions that apply to them in accordance with Luxembourg law and other jurisdictions.

Business Compliance relates to the interpretation of laws and regulations applicable to management companies/IFMs, administrators, distributors etc. in terms of administration and organizational structure, delegation models, policies and procedures, oversight and due diligence.

Marketing Compliance relates to reviews of marketing materials (e.g. factsheets, websites) that support the promotional activities of a fund and their compliance with EU and/or local regulations, as appropriate.

Our service

Deloitte is well-positioned to respond to your most complex compliance needs by providing:

  • Prompt and dedicated answers on specific compliance questions
  • Direct contact to compliance specialists for real time answers
  • Independent expert advice
  • Volume resistant support
  • Market knowledge of more than 70 countries’ regulatory frameworks
  • Guidance on the latest developments, challenges and business issues
  • External trainings
  • Regulatory health checks
  • Experienced, knowledgeable and multilingual staff

Your opportunity

  • Fast – an answer is usually provided within 48 hours, depending on the complexity and nature of the question.
  • Efficient – compliance enquiries are time sensitive, so we complement your compliance teams that have limited resources.
  • Quality responses – our professional experts provide you sound and up-to-date advice.
  • Reasonable cost – in externalizing part of your compliance service, you can be more flexible and improve cost efficiency.

We provide an expert opinion when you need it – peace of mind 365 days a year.

 

Contacts

Lou Kiesch
Partner – Regulatory Consulting Leader
Tel : +352 45145 2456
lkiesch@deloitte.lu

Alice Lehnert
Director – Financial Industry
Solutions
Tel : +352 45145 2605
alehnert@deloitte.lu

Stuart Hayter
Manager – Financial Industry
Solutions
Tel : +352 45145 3934
shayter@deloitte.lu

Isabel Ferreira
Senior Consultant – Financial Industry Solutions
Tel : +352 45145 2380
isaferreira@deloitte.lu