Asset management
Consulting, Projects & Strategic Deployment / Compliance & Operational Risk
Mapping of non-compliance risks in management activities and determination of the characteristics of the target system for detecting market abuse
Approach & Implementation:
- Determination of the regulatory framework applicable to the management company’s activities
- Study of the Front to Back processes
- Review of the first and second level controls of the Risk Department and the Compliance Department
- Interviews with Management, Risk and Compliance managers
- Detailed mapping of market abuse risks
- Recommendation of the controls to be implemented to cover the regulatory perimeter
- Inventory and qualification of the data available in the IS for the realization of the controls
- Drafting of requirements and specifications for controls
Implementation of a system to combat market abuse
Approach & Implementation:
- Assistance in the implementation of the market abuse detection solution
- Training of users
- Selection and configuration of market abuse detection controls
- Update of the market abuse procedure
- Design and drafting of the operational process for handling market abuse alerts
