What we do – and how we do it

Investment Compliance

  • Implementation of investment compliance rules for investment funds and mandates in Switzerland, Germany, Luxembourg, Liechtenstein and other EU countries (analysis, definition, coding and testing of rules)
  • Implementation, integration and migration of investment compliance software (Aladdin, Bloomberg AIM, MIG21, Charles River, SimCorp Dimension, Xentis)
  • Service provider evaluation and recommendation including project management
  • Verify or build-up of investment compliance rule libraries (legal rules, prospectus rules, contractual rules, internal investment guidelines)
  • Assess compliance, risk management and controlling policies
  • Risk budgeting & assessment
  • Investment compliance training sessions

Investment Advisory

  • Assist in the set-up or structuring of actively managed certificates (AMC) or investment funds
  • Define and formulate concise investment policy and investment compliance rules for private and institutional mandates or investment funds
  • Independent assessment of portfolios or portfolio managers and assist in investment manager searches
  • Assist in setting-up a family office


  • Investment Compliance as a Service (ICaaS)
  • Compliance as a Service (CaaS)
  • Risk Management as a Service (RMaaS)
  • Fully automated outsourcing services with on-premises installation or cloud-based solution with data storage in Switzerland
  • ISAE 3402 certified (by PriceWaterhouseCoopers)
  • Investment fund launch
  • Acquisition of asset management license (FINMA/FMA/CSSF), selection of paying agent and or custody bank
  • Securities & fund accounting
  • Business continuity planning