White Papers

Outsource Controls Framework:

Exploring the challenges that Investment Managers will fadein evidencing control over outsource arrangements under SMCR

Getting Control of End User Computing:

Looking at the challenges of getting control of end user computing, particularly in light of the introduction of SMCR on 9th December 2019

Oversight and Controls Framework over 3rd Party arrangements:

Expanding on the previous 'Outsource Controls Framework' White Paper and introducing the challenges of evidencing oversight over intra-group arrangements, offshoring and ManCo's

Financial Crime Prevention:

Is it time to take a new approach to Financial Crime Prevention?  Increasing your spend and resourcing on AML/KYC isn't always the answer as there may be a better way...

SMCR for Investment Managers:

Giving and overview of what is needed to put in place SMCR by Investment Managers

Distributor Due Diligence:

Asset Managers are increasingly engaging Distributors for the global distribution of their UCITS Funds.  What level of distributor due diligence should be applied and what are the best practices?

©2020 by CommSol Associates Limited Privacy Policy