Compliance Support

Regulated entities in Luxembourg are required to comply with increasing and complex regulation that directly impacts the way that they conduct their business, organise their internal governance and their operations and set up their relations with clients, delegates and other stakeholders.

In order to help our clients to evaluate the impact of these rules on their activities, our regulatory consulting expertise driven by Arendt Regulatory & Consulting S.A. (ARC) has set up a range of consulting and educational services regarding all aspects of regulatory compliance.

Regulated entities which want to manage their compliance in a professional manner may contact us for:

• Compliance consulting to assess the entity’s compliance perimeter on site
• Assistance in the definition of compliance programs 
• Assistance with any special project to be handled by the compliance function

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.

Regulatory developments in the financial sector have made the mission of compliance officers increasingly complex.

Beyond the many periodic controls to be performed and reported on, compliance officers often spend much of their time addressing specific compliance issues or grasping new legal requirements.

In order to make their lives easier, our regulatory consulting expertise driven by Arendt Regulatory & Consulting S.A. (ARC) has created CAROL, which stands for Compliance And Regulatory Oversight onLine.

CAROL is an internet-based solution that allows its users to monitor the compliance of a given regulated entity, with the help of an online control plan tailored to the entity’s regulatory status.

If you need more information, please contact us at carol@arendt.com.

www.carol.lu