A complete compliance offering
Coremont helps clients to navigate increasing regulatory demands across all jurisdictions.

 

Our Compliance Consultancy team has deep expertise of the global regulatory framework and a wealth of practical experience across multiple regulatory regimes.

 

As an FCA authorised and regulated firm dedicated to the highest standards of practice, we support clients to ensure that they are fully compliant with the latest global regulatory requirements and disclosure rules. Clients can also tap into our expertise in handling regulatory applications as they seek to expand their business and operate at a more institutional scale.

 

We support clients in domiciles all over the world, including the UK, the US, Hong Kong, Singapore, Japan, Luxemburg, Ireland and Switzerland, both for regulatory reporting and routine regulatory reviews.
Undertakings for Collective Investment in Transferable Securities (UCITS)

Coremont operates a Luxembourg UCITS platform, Coremont Investment Fund Lux SICAV, which provides full operational support to clients wishing to access institutional money in this market segment.

We can perform in-depth reviews of client portfolios and give guidance on UCITS eligibility. We support clients at every step of the process from fund launch to ongoing complete support of the investment management lifecycle.

All our services are underpinned by Clarion, our cloud-based portfolio management technology. Clarion provides clients with comprehensive compliance reporting, available for instant download, alongside their portfolio, live P&L and risk, and pre-trade compliance.

Our Compliance Consultancy offering:

Advisory services
  • Design of a comprehensive compliance framework including assistance with regulatory policies, registrations and licencing across different regimes and jurisdictions
  • Guidance on the design and implementation of a Compliance framework, including a Compliance monitoring plan, manual, policies, regulatory tracker, ICAAP
Regulatory reporting
  • Assistance with the preparation and submission of regulatory reports across all major jurisdictions
  • Assistance with regulatory inspections for e.g. NFA, SEC, FINRA, FCA and SFC
Monitoring
  • Independent review and testing against regulatory requirements
  • Ensuring compliance to disclosure monitoring, best execution reviews and market abuse surveillance
  • Robust monitoring and disclosures performed, such as Equities disclosure and short selling rules, best execution outlier monitoring, position limit monitoring etc.
  • AML reviews of counterparties
Discover how our technology could help transform your organisation as it grows and diversifies.
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