Mutual fund and securities companies

Mutual fund and securities companies have become subject to a heavier regulatory burden in recent years, ranging from stricter rules on capital adequacy and financial reporting to tougher regulations on operational risk, systems support and data security. The changes give more protection to consumers and this is also a feature of MiFID II.

Omeo understands the operating environment for mutual fund and securities companies. Drawing on previous professional experience from Finansinspektionen, the Swedish financial supervisory authority, our specialists provide clients in this field with valuable insight on the regulatory climate and current trends.

 

Examples of services provided to mutual fund and securities companies

  • Support on regulatory interpretation and transition of disclosure structures to new capital adequacy reporting regulations (COREP)
  • Data security management and alignment of key documentation prior to introduction of new regulations
  • Changes to processes and reporting structures for internal measurement of capital and liquidity requirements in compliance with new regulations
  • Process development for fund management company
  • Advisory services and support to risk and compliance functions
  • Staffing of independent risk control department for fund management company
  • Staffing of compliance functions for provider of structured products and electricity trading