Drafting or reviewing

Regulated investment firms operate in a strict regulatory environment and must have, at all times effective and up-to-date policies, procedures and controls tailored to the specific needs, characteristics, services and client base of the particular organization. There is no one size fits all.

Further, the Investment Firms must have agreements in place for the provision of investment services that meet the statutory requirements of fairness, professionalism and transparency.

Also, the Investment Firms, being obliged entities under Anti-Money Laundering legislation, must have manuals and procedures in accordance with the law and the directives or their regulatory authorities.

In association with lawyers and other trusted partners we are in position to effectively assess the specific needs of an investment firm and draft policies, procedures, controls and agreements that, on the one hand, meet the strict regulatory requirements and, on the other, the specific needs, complexities and business model of the firm.