Distribution Risk Monitoring

Oversight and monitoring of distribution risks has progressively gained ground as regulations and supervisory practices make the responsibilities of governing bodies more visible in this domain.

Distribution incidents and problems revealed during the financial crisis have also helped the industry to recognise the risks that may be caused by the distribution of financial products.

Finally, important regulatory changes brought by AIFMD, RDR, MiFID II (e.g. retrocessions ban, product governance, etc.), will impact the way funds are distributed today, making it more and more important to proactively deal with distribution as a key driver of success alongside fund performance.

The experts of our regulatory consulting expertise driven by Arendt Regulatory & Consulting S.A. (ARC) have a long-standing experience in fund distribution, governance and monitoring of delegated activities. They have built an “à la carte” approach to help UCITS, AIFs, UCITS management companies and AIFMs to build the groundwork for an optimised fund distribution oversight process.