Investment Compliance
Investment Compliance
Our end-to-end services are designed to ensure seamless adherence to evolving regulatory requirements while optimizing your investment processes. Tailored for investment funds and mandates across Switzerland and the European Union, our expertise spans everything from rule implementation to strategic advisory.
- Investment Compliance as a Service (ICaaS) – Access dedicated expertise on-demand to ensure continuous compliance without the need for in-house resources
- Comprehensive Regulatory Implementation – Full implementation of regulatory requirements across all EU countries, Liechtenstein, and Switzerland
- Integration with Investment Compliance Software – Integrating investment restrictions into leading Portfolio Management Software while ensuring alignment with industry best practices
- Independent Advisory for Board Members – Providing expert gap analysis and delivering best-practice recommendations for governance and compliance oversight
- Investment Compliance Professional Roundtable – Facilitating expert discussions and knowledge-sharing, challenges, and best practices in investment compliance
We leverage industry-leading expertise and cutting-edge technology to deliver compliance services aligned with best practices.
Key benefits
Regulatory Assurance & Risk Mitigation
Achieve seamless adherence to evolving EU and Swiss regulations, minimizing compliance risks and ensuring operational integrity.
Efficiency & Seamless Integration
Enhance investment operations by embedding compliance frameworks into portfolio management systems for optimized performance.
Expert Advisory & Scalable Support
Leverage independent strategic insights, best practices, and on-demand compliance expertise (ICaaS) to maintain regulatory excellence without additional in-house resources.
Beyond Compliance, Toward Excellence
Empowered compliance strategies
- 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
Our approach
Request & Assessment
- Client requests a quote and shares initial requirements.
- We analyze needs and provide an initial assessment.
Agreement & Design
- Define scope, cost, and contract.
- Develop and refine the solution with the client.
Implementation
- Execute the solution with clear milestones.
- Monitor progress, report, and manage risks.
Completion & Support
- Present results and document key findings.
- Provide post-implementation support and finalize.
Streamlined Processes for Cost-Effective Operations
The benefits range from seamless process handling to communication with portfolio managers and real-time reporting. UI Group-wide, etac strengthens efficiency and quality—this is real, consistent digitalization without system interruptions!
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