Regulators impose very strict rules on funds offered to the public, including the fund’s: governance, administration, risk and permitted/restricted investments.
Breaching regulatory imposed investment rules is serious and can result in large compensation payments and regulatory fines.
GRC-Maestro supports fund regulatory monitoring in a Maestro Solution with:
- Maestro-Templates: ensure regulatory requirements are covered for each fund/family
- Schedules: periodically send Maestro-Forms to relevant managers: portfolio, compliance, risk etc.
- Incidents: evaluate responses with automatic and manual incident creation, reporting and resolution
GRC-Maestro evidences to your regulators that you have strict internal control process, remain diligent in monitoring compliance and helps avoids costly breaches.
For more information on the GRC-Maestro Platform click here.