Advice on all aspects of risk management, in particular investment limit testing and implementation of migration projects

Averroes Concept Lounge offers specialized consulting services for investment compliance and supports companies in mastering complex regulatory requirements safely and efficiently.

With in-depth technical knowledge and experience and practice-oriented expertise, the team not only optimizes processes and structures, but also ensures that legal and regulatory standards are sustainably adhered to. The tailor-made solutions are suitable for both international markets and specific mandates and enable companies to proactively overcome compliance challenges.

This increases efficiency and minimizes the risk of violations to ensure long-term success.

Core competencies at a glance

Strategic realignment and process integration

As part of migration and merger projects as well as insourcing and outsourcing projects, we support the customer-specific implementation of new processes in investment compliance. This includes analysis and redesign of regulations, optimization of existing systems and smooth system integration - always taking regulatory developments into account.

Increasing efficiency in daily business

Averroes Concept Lounge offers both temporary support and long-term solutions for the coding and specification of investment limit checks in order to integrate compliance requirements into the daily routine of companies in a reliable and time-saving manner.

Health Check: Risk assessment and potential for improvement

The Investment Compliance Health Check enables operational risks, structural improvement opportunities and cost-cutting potential to be identified quickly and precisely. This “lightning analysis” helps companies respond specifically to weak points and achieve sustainable efficiency.

Knowledge transfer and training

Through project-related coaching and individual training, Averroes promotes the transfer of know-how in order to strengthen the understanding of regulatory and operational issues in investment compliance and to prepare companies for future challenges.

Expertise in Detail

Our expertise includes the in-depth interpretation and implementation of more than 30 national and international regulations, directives and ordinances, including:

AIFMD, UCITS, KAGB, DerivateV, VAG with AnlV, GroMiKV, SpkVO, Eligible Assets Directive, AT InvFG, CH KKV, CH BVV2, LU UCITS, Part II / SIFs as well as the US ICA 1940 and the Pension Fund Ordinance.

In addition, we have extensive experience in the technical configuration and application of the leading standard software systems for investment compliance such as Aladdin, Charles River, SCD, Bloomberg CMGR, Xentis and MIG21. Our expertise also includes the implementation and formulation of over 100,000 contractual investment guidelines.

Examples of successful projects

Merging pre-trade and ex-post compliance

We combined pre-trade and ex-post compliance for a large German investment company.

The starting point was two different systems for these processes. We were able to contribute our experience with both systems to the system selection and the design and implementation of the fundamentally new rule universe for investment limit testing.

Integration of the investment compliance of an acquired KVG

As part of the takeover of a medium-sized German asset management company (KVG) by an international player, we supported the organizational, professional and technical integration of the investment compliance function into the buyer's existing structure and accompanied the regulatory requirements as well as the adaptation of internal processes for a smooth integration.

Establishment of a central ex-post compliance function in Europe

We developed and implemented centralized ex-post compliance for Europe for an international investment company, focusing on monitoring compliance with contractual investment guidelines. Drawing on our experience in large system implementations, we established a robust compliance infrastructure that now seamlessly integrates over 100,000 investment guidelines.

Taking over the rule coding in day-to-day business for approx. 2,000 portfolios

A global asset manager commissioned Averroes to provide the complete rule coding for investment limit testing.

This covers regulatory, contractual and internal investment limits for around 2,000 portfolios – including mutual funds, special funds, asset management, advisory, outsourcing and international mandates.

Migration of pre-trade compliance to optimized investment limit testing

As part of a system realignment for an international investment company, we migrated the pre-trade compliance and redesigned and implemented the investment limit review rules.

In addition, extensive tests were carried out to ensure functionality and regulatory requirements.

Technical and operational standardization of investment compliance

We have developed and implemented standards for investment guidelines for several asset managers and fund administrators:

Standard asset classes and characteristics, allocation and quota systems, contractual principles, rules for investment limit testing, roles, responsibilities, workflows in the issuance and amendment process as well as STP interfaces.