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Compliance hotline - Responding with confidence | Brochure


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Compliance hotline - Responding with confidenceRegulatory compliance is an increasing by broad subject, which can at times stretch the finite resources of a compliance department. Deloitte is there to help with expert knowledge when you need it.

Context

The hotline service is part of the suite of fund industry compliance services proposed by Deloitte.

The main objective of the hotline service is to provide expert support every business day on any compliance problems a client may encounter.

In today’s fast-changing environment, compliance departments and investment fund boards must face many regulatory challenges with finite resources. The hotline can help both in terms of breadth of knowledge and to assist with absorbing peak volumes.

Main challenges

We divide the types of assistance in three themes.

Business compliance:

  • Conduct of business rules such as policies on inducements, conflicts of interests and personal transactions
  •  Oversight, control and management reporting best practice
  •  MiFID interpretation
  •  UCITS and AIFMD interpretation

Investment compliance:

  • Eligibility of assets for UCITS and other investment fund structure
  •  Review of investment objectives
  •  Risk management models
  •  Counterparty risk
  •  Securities lending and repo analysis

Marketing compliance:

  • Private placement rules
  •  Review of marketing material (printed and web based)
  •  Gifts and hospitality rules

Our services

  •  Dedicated question and prompt answers on compliance matters
  •  Direct contact to compliance specialists for real-time questions and answers
  •  Independent and expert advice
  •  Volume-resistant support
  •  Marketing knowledge of more than 30 countries' regulatory frameworks
  •  Guidance on the latest developments in marketing legislation
  •  Experienced, knowledgeable and multilingual staff

How can we help?

Expert opinion when you need it, peace of mind 365 days a year:

  • Rapidity: usually, an answer is provided within 48 hours, depending on the scale and nature of the question
  •  Security and expertise: we have a professional team, expert in the sector, to give you sound and up-todate advices
  •  Time-saving: compliance enquiries are timesensitive, and compliance teams have limited resources
  •  Cost reduction: in externalising part of your compliance services, you can be more flexible and improve your cost efficiency

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