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.
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?
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.
GRC Assurance Services
Dynamic-GRC specialise in Governance, Risk & Compliance.