Regulatory Services

Over the last decade, compliance has become an integral part of fund management. Transparency, information sharing and due diligence are driven by international regulation which need apply to your fund regardless of location and base. We ensure to help and guide you with every aspect of fund compliance management, making sure your fund stays updated with both local and global policies.

Our team of lawyers and compliance experts has a deep understanding of the legislation and its application to alternative investment funds, so you receive timely, accurate and practical support that’s tailored to your fund.

Know Your Client (KYC) and Anti-Money Laundering (AML)

Many fund managers can become highly frustrated by the level of due diligence which is now required due to its time consuming and onerous nature. We understand that you need an administrator that not only knows, and understands the legal requirements, but can effectively obtain the necessary documentation and information from investors whilst being able to process it rapidly. With a vast and strong network of compliance officers and legal experts in all major jurisdictions, we are able to offer a seamless global compliance service: while local specialists manage KYC and AML for your investors around the world, the whole process is centrally coordinated by your dedicated HELMS team. This montage of knowledge, expertise and experience truly creates a truly organised, structured and efficient service, which is sensitive to each Investor’s needs.

FATCA and the Common Reporting Standard (CRS)

As most fund managers and financial institutions would tell you, the implications of FATCA heavily effect the business. FATCA compliance is a significant responsibility and duty to manage, any failure of upholding FATCA compliance ma result in a 30% withholding tax on payments of US income. Derived and motivated by FATCA is the Common Reporting Standard (CRS), officially known as the Standard for Automatic Exchange of Financial Account Information. The CRS is a global engine designed to facilitate the systematic and automatic transfer of financial information to prevent tax avoidance and evasion. As of 2018, all financial institutions in around 100+ countries are subject to report under the CRS. With this increasingly complex reporting environment, it’s essential for fund managers to ascertain the compulsory requirements, and fulfil their obligations. Hence why we ensure to offer a service, to take care of all matters relating to FATCA and CRS so our clients can focus on what they are best at, we come in to ensure the process is done easily for you and maintaining compliance at all times.

AIFMD Annex IV

For those who manage an EU based Alternative Investment fund, you’re most likely subject to the Alternative Investment Fund Managers Directive (AIFMD) – this is legislation designed to protect investors and improve transparency. Under Annex IV of the AIFMD, all authorised and registered fund managers must report transparency information on their funds to local regulators for each country they market and conduct business in. Now with the various levels or reporting, this is not as simple as the process can be; reporting requirements differ for each jurisdiction and the underlying nature of the fund. Any mishandling of these compliance requirements can incur serious consequences. We therefore like to guide and assist you to fully determine the extent of your obligations and prepare accordingly.