ConceptONE has facilitated the successful submission of AIFMD Annex IV filings for clients in multiple EU jurisdictions utilising its RegERM platform.
“Our team assisted our numerous clients to meet the Annex IV challenge utilising our proprietary technology, superior service and deep knowledge of the regulatory reporting protocols. Despite a number of unexpected hurdles with the NCA electronic platforms, our professional team was able to shepherd our clients’ submissions through on a timely basis,” says ConceptONE President and cofounder, R Dan Connell. “The primary reason for this success was rooted in ConceptONE’s Regulatory Enterprise Risk Management approach to reporting.”
Successfully navigating Annex IV is a daunting task, and requires AIFMs to leverage expertise across multiple disciplines, including legal/regulatory, operations, finance, risk management and technology. It also requires filers to to be “government prognosticators”, ie being able to determine what ESMA is looking for. Our proven methodology has facilitated hundreds of Form PF and CPO-PQR regulatory filings over the past few years, and that experience enabled us to provide the requisite support for our clients and allowed them to properly complete and timely submit their Annex IV filings.
“In light of recent disclosures that the FCA is currently investigating 67 AIFMs, it is essential that firms focus on their Reg ERM”, says ConceptONE Managing Director for Global Regulatory and Compliance, Gary S Kaminsky.
