Services & Products

What we do – and how we do it

Investment Compliance & Risk insourcing services

  • Evaluate compliance, risk management and controlling policies with best practice from Asset Management industry
  • Establishment of a risk matrix for products and companies (Risk Budgeting & Assessment)
  • Host the EPIC Solutions Forum “Investment Compliance & Risk”
  • Independent advice for Senior Management to identify gaps and conduct strength & weakness analysis
  • Investment Compliance as a Service (ICaaS)
  • Etac: Compliance outsourcing services based on cloud solution and fully automated

Consulting services

  • Implementation of all regulations for EU countries, Switzerland including Liechtenstein as well as all relevant compliance obligations for MIFID II, UCITS, AIFMD, FIDLEG, FINIG, FINFRAG and BVV2 (Pension funds)
  • Integration of investment compliance rules within common compliance software: Aladdin, Bloomberg AIM, MIG21, Charles River, SimCorp Dimension, Xentis
  • Optimation & Periodic Reviews of Investment Compliance rules within:
    • Prospects and Contracts
    • Internal Guidelines
  • Take over daily administrative and technical tasks, such as:
    • Daily Pre- and Post-Trade Monitoring
    • Escalation Process and Troubleshooting


  • Project Management to
    • Set-up your own Asset Management Company
    • Obtain a FINMA licence as Asset Manager for all asset classes incl. alternatives
      and real estate
  • Governance as a Service (CGaaS)
    • AML, KYC, ORIS Report
    • Investment Compliance Reports
    • Risk Management incl. Process Descriptions and
      Internal Control System
  • Securities & Fund Accounting
  • Corporate Secretary
    • Statutes, OGR, Mission Statement, Directives
    • Contract Templates, Customer Profile Templates
  • Training for Asset Management Compliance
  • Business Continuity Planing


Our Product – etac is a software tool with “digitalized” focus on process and evaluation efficiency in investment compliance auditing.  It can be used independently of the respective “basic” fund management system. Its primary aim is to optimize process efficiency and quality within the company itself. This means that it digitizes parts of the work within the company itself, reduces cost, while increasing quality by prioritizing large or complex amounts of data to be processed, thus enabling more structured processing. At the same time, necessary subsequent processes are standardized and the process is recorded in a traceable manner. Doing so etac also offers a great new way to meet regulatory requirements in processes, reporting and documentation.

IC Process



No Impact from the co-banking system change

IC Reporting



Internal & external information on real time

Artifical Intelligence

Activ breach confidence level

Differentiation between data issue & actual alert


Minimazation of humen errors

Optimization of resources effort

Enhancement of the cost income ratio