Additional Services

We can provide Portfolio Management services through our Investment Committee. This allows tax and substance benefits to accrue to the Investment Manager. The Investment Committee is comprised of senior members of the FundRock Management Committee and independent experts.

We continuously invest in our systems and risk management tools to ensure we deliver best-in-class risk and fund compliance solutions for you. Our state-of-the-art risk management tools include MSCI RiskMetrics and Linedata.

Benefit from:

• Established risk management process
• Risk profiling
• Risk spreading rule implementation
• Investment objective rule implementation
• Counterpart risk services
• Asset eligibility risk monitoring
• Market risk services
• Liquidity risk services
• Synthetic risk and reward indicator (SRRI) verification
• Regulatory reporting
• Risk strategy support and new product implementation
• Performance and contribution analysis
• Training on risk management matters
• Monitoring, evaluation and reporting of compliance risks
• Assistance in the control of compliance risks

We provide a distribution gateway for UCITS and alternative investment funds enabling you to define and implement a winning distribution strategy for your funds.

Benefit from:

• Market intelligence – Receive country specific information and statistics relating to the registration and distribution of your funds
• Fund registration – Enable investors from around the world to access your funds, by getting them registered and passported across multiple jurisdictions
• Global distribution network access – Benefit from global agreements with introducers, marketers and distribution platforms
• Introduction and appointment of required service providers in different jurisdictions – Get introduced to paying agents, information agents and representative agents you can trust
• ETF listings – Get your fund listed as an Exchange Traded Fund (ETF) to enable investors to publicly trade your fund
• Market entry management – Gain time to focus on managing and marketing your product, by letting us coordinate your market entry with translation agencies, legal counsels and fund administrators as required
• On-going maintenance, due-diligence, risk and control management of distribution channels – Be sure your funds are and remain compliant with country specific rules and regulations

We make it easy for you to access our solutions in order to help you realise your investment strategy.

Our KIID production service to help meet your regulatory requirements.

We offer an à la carte KIID service purposely designed to be flexible and tailored to your needs. You can contribute to the KIID production or fully outsource all component parts to us.

Benefit from:

• Full KIID production and dissemination capabilities
• Assistance with the drafting of the objectives and investment policy and all other text contained within KIID
• Calculation and ongoing monitoring of the Synthetic Risk and Reward Indicator (SRRI)
• Calculation and ongoing monitoring of past performance
• Establishing the required connectivity with Central Administrators (Ongoing Charges)
• Fully integrated translation services
• Monitoring the live content and managing the annual KIID renewal process

Gain peace of mind by allowing us to ensure that all regulatory reports relating to your funds, such as AIFMD and Solvency II, are completed and sent to the regulator on time.

Ensure effective governance, by appointing independent directors to your fund’s board

While it is not yet a regulatory requirement to nominate a local independent director to the board of your fund, doing so has become general market practice.

We offer:

• Independent directors for your board – FundRock is acknowledged by regulators for providing substance and solid risk management capability. Benefit from our team of experts and let us help you protect your brand by appointing one of our independent directors to your board

Take advantage of FundRock’s corporate secretary services to help you meet regulatory requirements.

Effective corporate governance is a fundamental part of keeping the fund industry safe, as well as a regulatory requirement. In order to help you meet regulatory requirements, we offer a range of corporate secretary services.

These include:

• Board meeting organisation
• Board decisions by circular resolutions
• Corporate governance reviews
• Assistance with your funds’ annual general meetings (AGM) and extraordinary general meetings (EGMs)
• Annual board evaluations

We offer:

• Independent directors for your board – FundRock is acknowledged by regulators for providing substance and solid risk management capability. Benefit from our team of experts and let us help you protect your brand by appointing one of our independent directors to your board

Ensure your funds fulfill all Anti-Money Laundering (AML) obligations.

Benefit from:

• AML policy validation
• Definition of the transfer agent AML policy
• AML policy implementation
• Point of liaison for authorities
• Reporting to the fund’s board of directors
• Systematic management of exceptions approval requests
• Resolution of suspicious activity

We can ensure that your investors meet FATCA & CRS requirements.

Our solution includes:

• Registration / De-registration with the IRS providing the GIIN (Global Intermediary Identification Number)
• Prospectus review (no US person authorized, qualified investor notion)
• Oversight of the Central Administrators to ensure:
  - that identification at registration is done
  - that the classification of the pre-existing accounts and the reporting to tax authorities is accurate

We can assist you in recovering dividend withholding tax in the shortest possible time and with no hassle for you.

• RBO filing support
• Provision of an RC to the fund
• Provision of independent directors
• SRRI calculation
• Liquidity Management Services