• discussing investment policy and target markets to determine the right structure for your fund
• drafting your fund’s constitutional and offering documents
• negotiating and reviewing
  service provider agreements

• organising and preparing fully for board meetings, AGMs and EGMs
• attending and overseeing meetings
• preparing and distributing approved minutes and action items to all stakeholders
• updating the registers and statutory records
• advising relevant parties
  of key changes in relevant regulatory requirements

Legal Advisory

• Product scoping, adaptation and alignment
• Performing a gap analysis on a client’s current approach at entity and product-level on ESG integration, disclosure and reporting against SFDR level 1 and 2 requirements as well as the Taxonomy and its delegated acts (where applicable)
• Providing bespoke and ad-hoc support on SFDR, Taxonomy and other sustainable finance related queries

Regulatory compliance

•  Assistance in drafting the sustainability-related disclosures and documentation at entity and product level (to be published on websites, annual reports and pre-contractual documents – in prospectuses, KIIDs)
• Ensuring consistency of communication in marketing materials (Factsheets, brochures, presentations, etcetera)
• Advising on key national requirements in certain EU jurisdictions(notably France and Germany)

• Managing all SFDR pre-contractual and periodic disclosures –  production, management, translation, legal content drafting and enhanced dissemination via our self-service tool. 
• Entire process is managed and monitored via Zeidler Swift.
• Additional support available for bespoke requirements.

• appointing local agents in distribution jurisdictions when required
• negotiating and reviewing distribution agreements and
  other service provider agreements

• Web-based platform
• Provides practical information on Registration and Compliance matters for UCITS and AIF’s
• Also provides information on marketing, pre-marketing, private placement, reverse solicitation rules for UCITS and AIF’s
• Created and regularly updated by specialist lawyers and subject experts

• passporting UCITS funds throughout the EU and EEA
• passporting EU AIFs with EU AIFMs throughout the EU and EEA
• registering non-EU AIFs or AIFs with non-EU AIFMs for distribution under the National Private Placement Regimes (NPPRs)

• Managing all UCITS KIID and PRIIPs KID related matters – production, management, translation, legal content drafting and dissemination
• Providing annual as well as ad hoc updating caused by a change to:
  • SRRI/SRI
  • Performance data
  • Ongoing charges
  • Legal changes
  • Client changes

• EU wide coverage
• Replace all your local agents with one central agent
• Covers all local language requirements
• Access to online platform to make relevant
  information and documents available to investors

• Providing access to our best-practice questionnaire template(s) or creating a bespoke questionnaire that meets your specific needs
• Managing dissemination and completion of the questionnaire by the counterparty(s)

• Production of EMTs and EPTs
• Validation of EMTs and EPTs
• Enhanced dissemination of EMTs and EPTs to data vendors, distributors or any other destinations via email, S(FTP), API etc with a full audit trail

• Full integration– connect to any data source for seamless integration.
• Template flexibility–  fully adaptable and customisable in terms of design, size, use of existing templates and creation of new template designs.
• Scalability– Our solution can work with thousands of documents to ensure efficient and flexible results without compromising on quality.

• Official licence holder of the Financial Services Council (FSC) TMD template
• Automated generation of the TMD document and data report
• Purposeful management of the TMD: users can review, comment and approve the TMD document on our platform

• Providing an outsourced compliance officer solution
• Providing general and bespoke MiFID compliance advice

• Production and validation of EETs.
• Enhanced dissemination of EETs to data vendors, distributors or any other destinations via email, S(FTP), API etc with a full audit trail.
• Additional support available for bespoke requirements.

• Enhanced rules-based dissemination of fund documents  such as EMTs, EPTs, EETs, UCITS KIID, PRIIPs KID, amongst other documents to data vendors, distributors or any other destinations via email, S(FTP), API etc  
• Full audit trail for complete transparency and control with added compliance oversight from our Regulatory Services Division 

Appoint us as your Process Agent and benefit from:

• Competitive pricing model
• Fast turnaround of documents and extreme responsiveness
• Straightforward and simple fee structure
• Flexible and service-oriented team

• managing regulatory filings
• maintaining registration status
  by filing updated fund documents with both home-state and host-state regulators

• updating your prospectus or PPM, alongside memorandum and articles of association
• advising on day-to-day legal management of funds
• reviewing service provider agreements

• Preparation of the required application documentation
• Assistance with finding and negotiating agreements with the required service providers

• Very flexible and ad hoc availability
• Extreme responsiveness and quick document turnaround
• more than 9 years of experience in this specific area of work
• knowledgeable and experienced staff

Standard service

• Two dedicated staff in the EU and the UK, respectively to act as a local point of contact in the EU / UK for EU / UK data subjects and supervisory authorities on all matters relating to the processing of personal data.
• Facilitate communications between the client and data subjects /
  supervisory authorities
• Hold and maintain a copy of the client’s Records of Processing Activities
  and making it available to the relevant supervisory authorities upon request
• Provision of contact details in the EU / UK for inclusion in the client’s
  privacy policies etc

• Providing access to our best-practice questionnaire or creating a bespoke questionnaire that caters to meet your specific ESG related requirements 
• Managing dissemination to the delegates/counterparties and ensuring completion of the questionnaire 
• Rating responses provided based on your rating priorities and risk appetite 

• Digital platform 
• Provides practical information on disclosure requirements relating to articles 6, 8, & 9 of SFDR
• Created and regularly updated by sustainable finance specialist lawyers
• Fixed annual fee and flexible subscription plans to suit your needs 

• Contract drafting and review of the representative agreement.
• Facilitate communication with Swiss paying agents.
• Manage FINMA registration process and ensure ongoing compliance.
• Prepare and submit regular FINMA filings, legal publications, and regulatory updates.
• Publish legal and marketing documents on official Swiss electronic platforms.

• Helping you to get ready to report in compliance with the new ESG reporting requirements;
• Providing bespoke support, advice and guidance on compliance with CSRD and ESRS requirements

• Comprehensive Compliance: Accurate calculation of transaction costs in line with PRIIPs/MiFID II ex-post and MiFID II ex-ante requirements and considerations. 
• Customisable Calculation Models: Available calculation methodologies include the “Arrival Price” Methodology (EU and UK) and the “New PRIIPs” Methodology. 

• Scalability and Integration: Whether you are a small or large asset management firm, our engine is scalable to meet your needs. As a fully managed solution, our team manages the onboarding to provide a hassle-free transition. 
• Real-time Data Integration: Our engine seamlessly integrates with data sources to ensure accurate and real-time cost calculations, reducing the risk of outdated or incorrect data. 
• Enhanced Automation: Utilising automation of processes to review the management of individual transaction results, tailored to client-specific thresholds and consideration of exceptions. 
• Streamlined and Flexible Data Management: Utilise Secure File Transfer Protocol (SFTP) for data delivery with no requirement for specific file formats.  

Fund Registration Process Optimization:

• Streamline the management of internal and potential external tasks before initiating a registration request.

Adding a New Distributor Workflow:

• Implement a comprehensive workflow to efficiently incorporate new distributors.

New Fund Launch Workflow:

• Develop a comprehensive workflow covering the entire spectrum of launching a new sub-fund.

New Share Class Launch and Lifecycle Management Workflow:

• Establish a streamlined workflow that encompasses the complete cycle of introducing new share classes.