Financial Services Risk and Regulation

Asset and wealth management regulatory and compliance services

The current regulatory environment has investment management firms grappling with a growing number of requirements and expectations from both regulators and investors.

A sound system of compliance controls is essential in protecting your firm from business, regulatory and reputational risks. A strong compliance function will also become a factor of increasing importance which will define and set a firm apart from its competition.

Our mission is to assist asset managers in identifying, assessing, and controlling business, operational, and compliance risk in an efficient and cost-effective manner. What sets PwC apart is our commitment to learn and understand the unique operations of each investment management firm and provide tailored controls and solutions for your unique regulatory and compliance issues.

Our services

Among the services we provide our clients are the following:

Compliance organisation and program assessment
Compliance program development and implementation
Due diligence
Investigations and litigation support

Compliance organisation and program assessment

Analysing the compliance organisation, infrastructure, monitoring and governance programs
Assisting with potential governance automation, including the elimination of redundant controls

Compliance program development and implementation

Assisting in the development and implementation of the compliance organisation, compliance program and compliance policies and procedures with an emphasis on operations and controls

PwC's integrated governance risk and compliance framework helps clients get positive assurance that their policies, procedures and control objectives are testable and control activities and risks are actively managed. Our standardised framework permits traceability from policy to the control tested and also creates a path for future governance automation

Compliance program development and implementation

Assisting in the development and implementation of the compliance organisation, compliance program and compliance policies and procedures with an emphasis on operations and controls.

PwC's integrated governance risk and compliance framework helps clients get positive assurance that their policies, procedures and control objectives are testable and control activities and risks are actively managed. Our standardised framework permits traceability from policy to the control tested and also creates a path for future governance automation.

Due diligence

Performing regulatory compliance due diligence associated with acquisitions of investment management or distribution businesses.

Investigations and litigation support

Investigating facts and analysing data to quantify exposure, assess vulnerability and formulate strategy to mitigate enforcement and litigation risks.