As new regulatory requirements emerge, asset managers will be required to reassess and enhance their governance, compliance, and risk management. Having the right support team can mean the difference between growth and stagnation.
Promontory’s Asset Management Group has depth and knowledge gained as leaders of major regulatory bodies and asset management firms in the U.S., Europe and Asia. We assist our clients in enhancing governance, risk management, compliance, and strategic planning while simultaneously addressing the individual regulatory concerns or challenges they face. In North America, Promontory’s Asset Management Group focuses on the regulatory and compliance challenges facing companies regulated by the SEC, FINRA, the FRB, the OCC, the CFTC, the OSFI and state regulatory agencies. Our experienced team handles regulatory issues in Canada, the UK, EU and across the Asia Pacific region.
In this time of unparalleled regulatory change, Promontory’s Asset Management Group serves as a trusted advisor, understanding clients’ businesses and the expectations of their existing and newly designated regulators. We use this knowledge to help our clients achieve their business goals while meeting increasing regulatory expectations and protecting them from burdensome regulatory risks.
Our services fall into three categories:
- Strategic Advice (including regulatory due diligence and assessments in M&A transactions)
- Governance, Risk Management, and Compliance
- Regulatory Guidance and Preparing for Regulatory Examinations
Types of clients served:
- Investment Advisers and Investment Companies
- Asset Management Businesses within Integrated Financial Institutions
- Hedge Funds and Private Equity Firms
- Pension Funds and Endowments
- Service Providers to the Asset Management Industry
Key contacts by geography:
- Sheryl Kennedy +1 416 863 8555
- Pierre de Saint Phalle +1 212 365 6974
- Kathy Dick +1 202 384 1092
- Doug Harris +1 212 365 6568
Additional Resources and Publications