Compliance hotline - Responding with confidence | Brochure
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.
We divide the types of assistance in three themes.
- 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
- Eligibility of assets for UCITS and other investment fund structure
- Review of investment objectives
- Risk management models
- Counterparty risk
- Securities lending and repo analysis
- Private placement rules
- Review of marketing material (printed and web based)
- Gifts and hospitality rules
- 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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