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Fund Compliance – Investment Policy Control

HomeServicesFund Compliance
HomeServicesFund Compliance

Fund Compliance – Investment Policy Control

Non-conformity to “compliance risk” is defined as the risk of losses that an investor and/or an investment fund may suffer as a result of the failure to conduct the business in accordance with the rules in force.

Usually a daily investment policy control is performed, but the risk management procedures can assess a variety of other risks such as reputation risk, legal risk, litigation risk, risk of sanctions, as well as certain aspects of operational risk, in relation to all the financial institution’s business activities. In order to handle this risks, Luxembourg Fund Partners – acting as a management company – setted-up an official and permanent compliance function.

Luxembourg Fund Partners ensures that all managed investment vehicles comply with the investment policy and restrictions defined by the regulator. Thus we verify that fund performances are in line with market trends and investment strategies.

Our compliance department ensures the monitoring of the following breaches:

  • Passive/active breaches;
  • Remediation plan and correction;
  • Impact on funds and shareholders & CSSF information;
  • Improvement of the portfolio management process;
  • Identification and reporting of illiquid securities with comments from the portfolio manager.