Fund Compliance

Modern solutions for investment fund compliance needs

The global investment management industry faces rigorous fund compliance, reporting, and transparency requirements. Within the cross-border distribution arena, mutual funds must cope with laws, rules, and regulations at the regional and country levels. To comply with complex mandates, private equity and real estate fund managers and asset servicers are turning to technology to calculate tax exposure and withholdings, prepare and validate investor tax reports, and manage compliance obligations.

Deloitte’s fund and real estate compliance professionals bring an international, collaborative perspective to cross-border, multi asset-class investment reporting. We can help you master the requirements in a multi-jurisdictional environment adhering to SEC, DOL, IOSCO, UCITS, AIFM, and other regulatory guidelines.

Using technology to increase efficiency and compliance

We implement Deloitte technology, including iPACS Fund Tax Reporting software, to increase efficiency and compliance for private-equity and asset-management clients. The software also supports global investor and product tax reporting and compliance for regulated and alternative funds across investment and investor types. All of it is backed up by industry specialists committed to helping you grow your business through more efficient and effective compliance operations.

Investment compliance monitoring (ICM)

Asset management organizations can face challenges with achieving operational consistency in their ICM programs, often a critical line of defense in maintaining regulatory compliance. Standard investment compliance and monitoring tools can help establish, execute, and maintain compliance with regulatory, client, contractual, and risk-sourced investment restrictions.

Deloitte’s investment compliance services and tools can help clients enhance the efficiency and effectiveness of their compliance monitoring capabilities. We help perform contract analysis of source documentation, such as investment guidelines and prospectuses, to identify, capture, code, and test investment restrictions within the ICM system on a remedial and forward-looking basis. We also assist in designing and implementing a target operating model (TOM) for the ICM function and automating ICM systems in line with leading industry practices.