Regulatory Roadmap Report


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Focus on governance as regulatory environment shifts

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DMS Governance: Best Offshore Regulatory & Compliance Firm – In today’s ever-changing regulatory environment, asset managers can expect existing and upcoming product ranges to be affected by new regulation. DMS Governance supports its clients through a governance, risk and compliance framework to prepare them for any upcoming changes.

“We aim to help clients implement any regulatory change before it becomes a challenge,” explains Matthew Brown, Managing Director, DMS Governance. “A relevant and recent example of this in practice would be the implementation of the updated anti money laundering legislation in the Cayman Islands. DMS provides AML officer solutions that our clients implemented late last year, meaning we were able to prepare, present and implement a solution ahead of the regulatory deadline – reducing the time and operational burden on our clients.”

Brown adds: “Our regulatory advisory team is in constant dialogue with regulators to ensure that, when these changes affect our clients, we are there ahead of time to provide a solution.”

With the industry as a whole seeing an increased focus on substance Brown remarks that: “DMS’s global infrastructure and expertise helps clients implement solutions that provide the necessary regulatory substance.”

A key element of the DMS offering is the firm’s local expertise. Brown says: “What continues to support the growth of DMS is its knowledge in local markets – DMS provide solutions to our clients in the key financial centres. We support our infrastructure with local knowledge in the form of our regional team of experts.”

DMS has continued to expand its European offices, driven by the growth in European domiciled product solutions. In September this year, it substantially increased its Ireland-based workforce by creating an additional 50 roles in Cashel, Tipperary. September also saw DMS acquire Host Capital Limited, an independent Authorised Corporate Director, regulated in the UK by the Financial Conduct Authority.

This latest acquisition, together with a strong and experienced team, allows DMS to further expand its European products and bespoke solutions to asset managers operating UK regulated investment funds and provide them with tailored solutions to assist with any Brexit concerns they may have. As a result of this acquisition, the firm is now uniquely placed to assist from inception to launch of FCA Authorised Collective Investment Schemes.

DMS has also seen considerable growth in its Asia-Pacific presence where the number of operational staff on the ground in its Hong Kong and Singapore operations has been increased significantly to provide better support to clients in their local time zones. The firm’s Hong Kong office has been operating since 2011 and with the opening of the DMS Singapore operation in 2017, this demonstrates the increased demand for professional directorship services along with the firm’s other Risk & Compliance services in the region.

DMS pledges to make continual investment in its people, systems and technology to create and implement solutions to help clients operationally:

“Our clients are facing industry challenges from regulators to ensure they are offering market-leading products to their clients, while following industry best practice. By implementing our framework across governance risk and compliance our clients can feel assured that, by working with DMS, they are offering their products at the highest market standards,” Brown concludes.

Matthew Brown
Managing Director, DMS Governance

Matthew Brown has a wealth of experience as a business development executive who has operated in the equities, investments trading and hedge fund market. He has a successful track record in building teams, providing significant ROI and developing strong networks in markets such as Europe and the Middle East. As Managing Director, based in the New York office, Matthew is principally responsible for establishing strategic partnerships and business relationships to market the firm’s products and services across all business lines.

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