Compliance Services

Charles River’s Compliance Services offering includes:

Compliance Rule Advisory Service extends internal teams with rule-writing, maintenance and support;Global Shareholder Disclosure Service (GSDS) helps subscribers comply with shareholder disclosure regulations; and the Compliance LawCard® Solution help to simplify the process of determining jurisdictional investment restrictions.

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.

Potential 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

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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

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Compliance LawCard Solution

Charles River’s LawCard Solution helps reduce the administrative and cost burdens required to remain informed of regulatory changes across jurisdictions. The LawCard team monitors the regulatory landscape for updates and creates standardized, comprehensive rule libraries that simplify the process of determining jurisdictional investment restrictions. These rules are assessed in a LawCard test environment to help ensure they adhere to the regulations. The approved rule libraries are accessible through the LawCard® Portal which serves as a single reference point for relevant regulations, LawCard® team interpretations, and best practices.

LawCard® rule libraries contain more than 1,800 rules across multiple jurisdictions and support for:

  • Over 900 UCITS/AIF rules for European countries
  • Over 50 1940 Act rules, including 2a7 for USA
  • Over 150 rules for APAC

Our compliance analysts are multi-lingual with deep industry experience. They are former compliance officers and fund industry experts. They participate in local financial and asset management organizations dedicated to jurisdictional and regulation-related subjects. Each analyst is dedicated to a jurisdiction and provides rule writing services and support within that jurisdiction.

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(As of June 2021)