Investment Compliance Support Services

Support to clients in respect of investment compliance rules in regulated funds

The teams of our regulatory consulting expertise driven by Arendt Regulatory & Consulting S.A. (ARC) are supporting clients in respect of investment compliance rules in regulated funds (mainly UCITS). The interpretation of investment restrictions/ the confirmation of eligibility of instruments is paramount in a very automatised environment and one of the primary responsibility of a fund. Regulators focus more and more on NAV errors remediation process and oversight by the funds or their managemet company to ensure compliance.

We help client to:

  • Validate the set of applicable investments rules;
  • Test the implementation of applicable rules as coded into monitoring systems and document the results of such test to either confirm or challenge the efficiency of such on-going controls.

In recent years, the CSSF has launched an intense campaign of on-site inspections aimed at UCITS management companies and alternative investment fund managers (AIFMs). These visits have been carried out at investment fund managers (IFMs) of all kinds: small and large (whether by staff headcount or assets under management), boutiques and international group subsidiaries, liquid and illiquid strategies, with sponsors from continental European, Anglo-Saxon and Asian regions alike.
We help our clients by reviewing their organisational compliance, by helping them to know whether their work processes meet CSSF expectations and by preparing for an announced CSSF visit. For more information, please contact us at

The successive financial crises of recent decades have underlined the need for financial sector actors to strengthen their governance, and the need for national authorities to strengthen their supervision. Expectations for control, documentation of decisions and record- keeping have risen over time.
We have created a simple solution designed to relieve major pain points, and to help you comply with Management Information and delegation oversight obligations
SAMI is a central point of access through which Management Information is administered in order to ease and support risk assessment, documentation and reporting. It is also an efficient, user friendly delegation monitoring tool.
SAMI’s goal is to make company data management as easy and stress-free as possible, to ensure a monitoring process that is appropriate for the applicable rules and regulations. For more information on our Management Information solution, please click on the flyer below or contact us at

Arendt Regulatory & Consulting SA

41A, Avenue JF Kennedy L-2082 Luxembourg

T (352) 26 09 10 1
F (352) 26 09 10 7750