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Independent Conflict Review

We provide independent, same-day, conflict review / related party transaction services for originating loans / primary issues and secondary market trades for global investment managers.  

Same day turnaround for conflict reviews

With the growing focus on regulatory and independent oversight, affiliated trades require diligent, accurate and timely results.  

Our dedicated conflict review team has the technical expertise and global reach to ensure your review is performed quickly and flawlessly with a same day turnaround on each request.

We provide a dedicated conflict review team on each transaction, so you can benefit from our team's specialist expertise and rapid turn around times. 

How we help

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  • Comply with Section 206 (3) Investment Advisers Act

    We independently review the prices of affiliated trades (both cross trades and principal trades) to ensure compliance with the regulatory requirements under Section 206 (3). 

     

  • Review across global jurisdictions

    We support investment managers in the US and across global jurisdictions to meet regulatory and best practice requirements.

  • Provide an arm’s length review

    We provide global institutional and private investors with the assurance that cross trades and principal trades are conducted on an arm’s length basis.

  • Review using qualitative and quantitative data

    With the support of pertinent data for each transaction, our team can assess principal and cross transactions via the use of both qualitative and quantitative analysis.

Why Ocorian?

  • Dedicated conflict review team

    Our team of finance and accounting professionals have broad experience reviewing and assessing affiliate trades across a wide variety of securities.

    Dedicated conflict review team

  • Fast, responsive service

    Our dedicated independent conflict review team has the technical expertise and global reach to ensure your review is performed quickly and accurately, with a same day turnaround on requests.

    Fast, responsive service

  • Independent and conflict free

    We are independent and provide a conflict free service at arm’s length – regardless of the types of structures or where they are domiciled.

    Independent and conflict free

Independent conflict review services

For primary issues, the Portfolio Manager provides the loan list/tape and the supporting credit memos and financials.

Our team will perform the following:

  • The loan tape/loan list is reviewed and assessed to contain the necessary data/information to perform the review.
  • Perform both qualitative and quantitative analysis of the data presented on the underlying credit memorandum.
  • Assess the credit quality of the loan.
  • Predetermine a price variation acceptance level with the Portfolio Manager with respect to Original Issue Discount (OID) for primary issued loans.
  • Exposure assessments upon request, can be performed to ensure the portfolio is not over exposed to one position in an event of default.

As pricing support for broadly syndicated loans (BSL) is largely available on the secondary market from third party platforms, we can find better comfort on the arm’s length of a transaction with independent pricing.

Our team will:

  • Review each trade against a third party independent pricing platform.
  • Analyse the trade price according to the third party independent pricing source, industry best-practice and reasonable arm’s length tolerance levels.

Let’s talk

Contact us and a member of our team will be in touch.