Due Diligence Services

Delegated Investment Management

Conduct detailed Due Diligence on your 3rd party investment managers and ensure they are:

♦ Managing in accordance with the Investment Management Agreement (IMA)

♦ Reporting discloseable ad-hoc events and periodically as required

♦ Not giving other clients preferencial allocations, front running, etc.

♦ Maintaining the records required by the delogator’s regulator

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Due Diligence: 3rd Party Investment Managers

Our Professional Services team have extensive experience conducting Due Diligence on 3rd party investment managers and have developed a proprietary Due Diligence program.

Scope

The 3rd Party Investment Manager DD covers topics including:

  • Investment Process: who is making investment decisions and how are they implemented?
  • Investment Dealing: how are investment decisions executed (including Best Execution)?
  • Portfolio Compliance: what checks are performed to ensure the portfolio is IMA compliant?
  • Checks: which checks are performed and how are exceptions identified/resolved?
  • Record Keeping: what records are made and stored?
  • Reporting: what reports (periodic and ad-hoc) are prepared and circulated?

Deliverable

At the end of the Due Diligence on 3rd Party Investment Managers you will receive a draft report outlining the salient findings, along with a list of suggested actions.

Resources

GRC Assurance Services

Dynamic-GRC specialise in Governance, Risk & Compliance.