Investment managers and advisers are bound to act in accordance with client contracts and relevant regulations. Furthermore, depositaries, custodians and fund administrators are responsible for ensuring investment managers have invested within contractual and regulatory limits.

Nothing is more important than ensuring the investment manager stays compliant at all times because it is the very basis of the service clients pay for.

GRC-Maestro supports investment compliance whether launching a fund, taking on a new client mandate or monitoring ongoing compliance.

Find out more about how Maestro Solutions manage specific investment compliance requirements:

For more information on the GRC-Maestro Platform click here.

Reporting on: Investment Compliance

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Fund Regulatory Investment Compliance

Periodically review the fund investments against regulatory investment restrictions/permissions. Investigate exceptions and classify as breaches or non-breaches.

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Mandate Investment Compliance

Periodically review the account investments against the mandate investment restrictions/permissions. Investigate exceptions and classify as breaches or non-breaches.

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Internal Investment Compliance

Periodically review the fund investments against model accounts and desk level investment restrictions/permissions. Investigate exceptions and classify as breaches or non-breaches.