Regulatory & Compliance Services

First and foremost, it is important to understand scope and perimeter of each individual client and investor vis a vis its regulatory environment. Through a holistic approach we make a comprehensive assessment and identify processes and procedures that need to be established to ensure accurate top-notch compliance.

Our outsourced AML compliance services set out an over-arching coverage of customers’ on boarding, periodic reviews, regulatory filings, Personally Exposed Persons (PEP) compliance, AML reporting, audits and checks, staying ahead of deadlines and the expectations of regulators in different jurisdictions. We help you with:

Our philosophy is very simple: we want to become our clients’ trusted recognizable advisors and partners, and never provide a commoditized service. We strive to develop with our clients a one stop shop solution for compliance services so that you continue to focus on asset management and returns.

Our team at Fundamental manages professionally and with a customized approach the compliance function and guarantees the highest standards of integrity and transparency.

ESG regulations are constantly evolving and seek to increase transparency in financial reporting vis a vis different stakeholders. The financial industry and the manufacturing sector have the SFDR and CSRD as the two notable disclosure points of reference as far as regulations are concerned.

The Sustainable Finance Disclosure Regulation (SFDR) is a European regulation that aims to improve transparency among sustainable investments. It aims to better disclose the sustainability claims of various investment products in the EU. Based on this, the financial entities will have to include supplementary information on a few different documents (i.e PPMs).

The Corporate Sustainability Reporting Directive (CSRD) is a European regulation which requires large companies above a threshold to disclose risks and opportunities related to ESG practices, and is planned to take effect in 2024. Topics companies are required to report on to include carbon, water, pollution, biodiversity, and other ESG topics.

Companies are required to disclose through annual reports with financial information and Forward-looking and Retrospective statements, Qualitative and Quantitative information, short, medium, and long term plans.

Also, they will have to consider the entire value constituted by the supply chain, give users an integrated view of the companies on issues of sustainability and how these can impact the development, performance and positioning of the company itself.

Finally, an inclusion of the disclosure of sustainability as a section of the management report in a Single XHTML format is set forth by the Directive.