ComplianceAsia has extensive experience in the asset management industry. We assist investment managers, fund sponsors and fund distributors to

• Review the suitability of their products from a regulatory compliance perspective
• Advise on the suitability of their products for cross border distribution
• Co-ordinate the approval process for distribution of investment funds
• Project manage the structuring, re-structuring or liquidation of investment funds

• Implement appropriate fund governance regimes
• Identify regulatory obligations applicable to a fund, manager, sponsor or distributor and implement an appropriate monitoring and escalation procedure to reduce the risk of breach or non-compliance