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Regulatory & Compliance

AN ESTABLISHED LEGACY TRUSTED BY INDUSTRY LEADERS

Risk management and regulatory compliance have become key priorities for clients with both regulators and investors demanding greater transparency and enhanced reporting. Compliance with these obligations means ensuring a clear understanding of the ongoing requirements and often the aggregation, calculation, maintenance, reconciliation and submission of extensive data sets to various parties on a regular basis. The Maples Group has unrivalled expertise in regulatory matters, particularly in the field of anti-money laundering and counter-terrorist financing. We pride ourselves on our established relationships with regulatory bodies and have had significant involvement with the development of financial services law and policy both locally and internationally. Our ability to draw on this experience enables us to provide prompt, pertinent and clear advice that adds real value and helps our clients determine how best to maintain compliance across multiple jurisdictions.

Regulatory & Compliance

AEOI - FATCA and CRS

Global tax information reporting initiatives, including FATCA and CRS created a complex additional compliance burden, but clients can rely on our dedicated solutions to meet all related regulatory requirements.

AIFMD Annex IV Reporting and Depository Solutions

The EU's AIFMD framework has major implications for managers marketing funds in the continent. Our comprehensive AIFMD service supports clients in all aspects of negotiating the new EU regulatory landscape.

Anti-Money Laundering Services

Increased regulatory focus and the implementation of aggressive international sanctions makes AML compliance more important then ever before. We bring unrivalled experience to offer a risk based, cost effective solution that can be tailored to individual requirements.

EMIR

We provide both legal and operational support to fund managers in meeting the ongoing obligations of EMIR, including reporting and clearing of OTC derivatives and risk reduction obligations.

Form CPO-PQR

Commodity Pool Operators subject to new regulatory and reporting requirements from the Dodd Frank legislation benefit from our efficient integrated portal, combining COP-PQR preparation with portfolio risk analytics.

Form PF

Private fund advisors required to report assets to the Financial Stability Oversight Council welcome our fully integrated technology based solution that assists with calculations, verification and data storage.

OPERA

In line with greater demands for investor transparency and risk disclosure, our integrated systems are aligned and consistent with the private sector OPERA initiative.

UCITS

Our team of specialist lawyers and data analysts provides a comprehensive solution that delivers the professional expertise and systems to help fulfil the requirements of the UCITS directive.