Skip to main content
Back Arrow Back

Fund Compliance Services

We manage your regulatory, compliance and legal obligations so you can focus on achieving your fund’s strategic priorities.

Experts in legal and compliance services for funds

The global regulatory landscape continues to evolve at pace and keeping up with both local and international obligations is becoming increasingly difficult for fund managers operating across borders.

Let us remove the burden of keeping on top of changing rules and regulations.

We offer a comprehensive suite of regulatory reporting, legal and compliance solutions for your alternative investment fund and/or underlying entities that can be customised to your needs.

From setup to liquidation, we combine our legal, fiduciary and administration services to navigate regulatory complexities and guide you through the entire life cycle of your legal entity.

 

Our fund regulatory, legal and compliance services help you to:

  • Stay compliant: our deep knowledge of local and international regulations ensures your operations remain fully compliant with applicable regulations such as FATCA, Annex IV and AIFMD
  • Have compliance experts on hand: Our qualified MLROs, Deputy MLROs and Money Laundering Compliance Officers (MLCOs) are on-hand to ensure your fund follows and executes proper processes
  • Reduce risk: regardless of asset class or jurisdiction we can maintain and document compliance with all your statutory obligations, so you never fall foul of non-compliance
  • Focus on your core competencies: by taking care of what can be unfamiliar procedures and obligations, we provide you with the time to focus on your core business
  • Find the best route to market: our clear advice and dedicated support across all sectors and jurisdictions enables better strategic execution and decision making


Why Ocorian? 

  • Expertise: Our team are made up from senior compliance professionals, many of whom have worked for regulators such as the FCA
  • Tried and tested processes: Our Senior member’s expertise includes designing, testing and approving regulatory surveillance systems as well as the establishment of Risk and Compliance Departments for firms
     

Offices

Our teams are located where are clients are to make communication easy in 11 jurisdictions:

  • UK
  • Guernsey
  • Jersey
  • Mauritius
  • Singapore
  • Ireland
  • Isle of Man
  • Hong Kong
  • Bermuda
  • Cayman Island
  • Luxembourg

Our regulatory, legal and compliance services for funds include:

  • MLRO, Deputy MLRO and MLCO provision: we’ll provide your entities with qualified MLROs , Deputy MLROs and Money Laundering Compliance Officers (MLCOs)
  • Designated service provider (Jersey)/designated manager service (Guernsey)
  • AML/CFT compliance: we’ll conduct AML/KYC on fund investors on an ongoing basis whilst maintaining all investor documentation
  • Transaction monitoring of clients and investors: we’ll conduct transaction reporting and SPT reporting as required to ensure screening against sanction lists and report to the MLRO and board of funds
  • Register funds with the FIU: we’ll register Funds with the relevant Financial Intelligence Unit via GoAML for STR reporting purposes
  • Legal entity identifiers: we’ll apply for LEIs for the Fund on your behalf and complete paperwork to renew approvals on a yearly basis
  • Fitness and probity: we’ll perform fitness & probity checks on the Board of Directors to the Fund, inclusive of completion the required paperwork in accordance with our Fitness & Probity Manual, Policy and Procedure
  • Maintain registers: we’ll update errors, breaches and complaints registers, COI Registers, Gifts & Entertainment Registers for each Fund
  • Corporate governance: we’ll provide a corporate governance suite of policies for the fund and update them accordingly over the course of a year
  • Distribution handbook: we’ll provide an extract of our registration and distribution handbook to assist in fund 
  • onboarding and update accordingly in line with regulatory intelligence at our disposal.
  • FATCA/CRS services: we’ll provide a responsible officer, annual review and prepare annual reports for each entity to ensure compliance with FATCA
  • Preparation of fund regulatory policy and procedures manual: we’ll prepare and update all necessary policies and paperwork on an ongoing basis
  • Preparation of regulatory returns procedures manual & supplemental registers:  we’ll devise a regulatory returns procedures manual including regulatory guidance for returns, regulatory returns calendars and registers
  • Systems administrator & filing agent: we’ll act as Systems Administrator and filing agent for regulatory returns to the FCA, CBI etc.
  • Risk management process documents, risk registers & reports: we’ll provide the necessary paperwork for onboarding and oversight pertaining to fund risk inclusive of an investment mandate template
  • Compliance monitoring programme: we will devise a compliance monitoring programme based on the Fund’s Operations Memoranda, perform the tests and report on the adequacy and efficacy of the funds control framework
  • Annex IV and IFPR 9 reporting: we’ll provide transparency reporting to required regulatory bodies
  • GDPR compliance: we’ll provide registration and reporting to relevant Data Protection Commissioners and draft GDPR manuals as required
  • Board reporting: we’ll provide designated persons/conducting officer’s report and attend board meetings on a quarterly basis to opine on the control’s framework, performance etc.  of the fund.
  • Supervision of delegates:  We’ll conduct oversight of delegates through desktop reporting and onsite reviews
  • Ancillary services: Secondments, bespoke reporting, risk & compliance training.