We use cookies to help us to improve our site and enable us to deliver the best possible service and customer experience. By clicking accept or continuing to use this site you are agreeing to let us share your data with third parties in accordance with our privacy policy. Learn more

Due Diligence FAQs

How often should the manager review its compliance systems and controls?

It is expected that a manager reviews its compliance systems continuously and provide a comprehensive compliance review on at least an annual basis.

Further, there are regulatory requirements that require a manager to review their compliance controls and infrastructure and file certain results with the regulator. It is important to understand this well to test the manager accordingly and provide comfort that compliance and controls are in place to protect investors and the business of the manager.

Still need help? Get in touch