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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.

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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 in association with 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.

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Charles River’s LawCard^® Solution helps to alleviate this burden by providing comprehensive predefined regulatory rule libraries that simplify the process of determining jurisdictional investment restrictions. The LawCard team frequently monitors the regulatory landscape for updates and amends the rules to remain current with regulatory changes. These regulatory rule libraries serve as a single reference point for relevant regulations, LawCard team interpretations, and best practices and are accessible through the LawCard Portal.

Our compliance analysts are multi-lingual with deep industry experience. They are former compliance officers and fund industry subject matter experts; they are also members of local financial and asset management associations and participate in various events on regulation-related topics. Each LawCard has dedicated analysts that provide rule writing services and support within that jurisdiction.

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