Compliance Services

Charles River’s Compliance Services offering includes:

Compliance Rule Advisory Service which extends internal teams with rule-writing, maintenance and support; Global Shareholder Disclosure Service (GSDS) which helps subscribers comply with shareholder disclosure regulations; and Compliance as a Service (CaaS) which provides Charles River’s compliance software delivered as a cloud-based service with integrated data and a combination of Compliance Rule Advisory and/or Global Shareholder Disclosure Service.  

Global Shareholder Disclosure Service (GSDS)

Charles River’s Global Shareholder Disclosure Service includes a global rule library, proactive monitoring, notification and interpretation of global rules to help subscribers comply with shareholder disclosure regulations for more than 85 jurisdictions.

The service helps subscribers keep up with changes, understand the impact on their business and follow filing requirements, despite the numerous jurisdictions, regulatory bodies and languages involved.

GSDS leverages legal content from Rulefinder Shareholding Disclosure provided by aosphere, an affiliate of international legal practice Allen & Overy. aosphere provides Charles River with detailed legal information and monitors and issues alerts on changes to global shareholder legislation. Charles River’s dedicated team of compliance experts write, adapt and test the rules within the subscriber’s Charles River environment.

Charles River GSDS covers several types of Foreign Ownership rules:

  • Major shareholder disclosure rules
  • Short disclosure rules
  • Sensitive Industry rules
  • Takeover panel rule(s)
  • Client-driven issuer limit rules
Compliance Rule Advisory Service

The Charles River Compliance Rule Advisory Service extends the compliance organization to help manage an increasingly complex regulatory environment, meet demands for more stringent risk management, and support growth while controlling costs. Charles River’s deployment experience across a global client base gives our Compliance Services team a level of knowledge and depth of skills difficult to match and maintain with in-house staff alone.

Charles River’s compliance specialists bring deep knowledge of regulatory bodies and processes, and have access to thousands of rules from numerous jurisdictions worldwide. Compliance Rule Advisory Service clients leverage this experience to help ensure that workflows are efficient and rules keep pace with new mandates and regulations, including the Investment Company Act of 1940, CFTC, NI 81-102, UCITS, ESMA, SFC, and more.

Key Benefits:

  • Ensure accurate and up to date compliance monitoring
  • Stay current with regulatory changes
  • Support new products & asset classes
  • Facilitate geographic expansion
  • Leverage best practice compliance expertise
  • Reduce internal staffing pressures
  • Ensure efficient rules for optimal performance
  • Streamline compliance processes
Compliance as a Service (CaaS)

Charles River’s Compliance as a Service (CaaS) is an easy-to-deploy SaaS offering that allows asset managers to stay current with the ongoing and growing burden of regulatory requirements, without the need for large IT budgets or local resources. This innovative solution, fully managed in a private cloud, combines Charles River’s:

  • High-performing, multi-asset compliance software
  • Integrated reference and benchmark data
  • Up-to-date global rule writing services

The solution extends the client’s compliance organization to help fulfill investment mandates and requirements, improve operations and risk controls, and support growth while lowering costs. Charles River CaaS is ideal for any investment organization (asset manager, insurance, fund of funds, etc.) that requires a compliance solution capable of scaling from the most straightforward to the most complex scenarios.

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