Asset Management
For asset management firms, compliance has never carried more obligation. My Compliance Centre gives you the platform to manage it properly.
Asset managers operate where individual conduct, conflicts of interest and personal accountability sit at the heart of regulatory expectation. Managing PA dealing, attestations, conflicts and governance across a firm where investment professionals are time-poor is where the administrative burden falls and where the evidence of control needs to be immediate.
What My Compliance Centre Addresses
Employee compliance
PA dealing, gifts and hospitality, conflicts disclosures and policy and fit and proper attestations in one integrated system. Automated workflows. Complete audit trail maintained automatically.
Compliance monitoring
Your monitoring programme deployed on a platform that structures it, tracks findings to resolution and surfaces management information your Board can use.
Your governance framework
Meeting packs, minutes, actions and attendance recorded and evidenced. For firms subject to individual accountability requirements, or simply wanting best practice, the audit trail builds automatically.
Register vault
60+ register templates – such as incidents, breaches, complaints, financial promotions and more – supported by a workflow engine for approvals and reviews. These grow with your firm.
SMCR
Senior manager roles, responsibilities and certifications managed in one system. Evidence of the reasonable steps taken to ensure Conduct Rules compliance is structured, documented and accessible when needed.
Regulatory change
Track updates from the FCA and other relevant bodies, assign actions and evidence your firm’s response in a structured, auditable way.
What This Means in Practice
Evidence of control exists and is accessible. Your Board has visibility it can trust. When the FCA visits, you can demonstrate a functioning, audit-ready framework without the last-minute scramble.
Frequently Asked Questions
Asset management firms typically manage a wide set of compliance processes – personal account dealing, conflicts of interest, gifts and hospitality, fit and proper attestations, compliance monitoring and governance among them. The difficulty is less any single process than managing all of them consistently and being able to evidence them. My Compliance Centre brings these together in one integrated platform, so employee compliance, monitoring and governance run in a single system with the audit trail maintained automatically.
Personal account dealing requests are submitted by employees and automatically approved, rejected or referred to the compliance team, with every request, approval and decline recorded and timestamped automatically. For firms with more complex requirements, the specialist PA Dealing module can be configured to your instrument types, holding periods and restricted lists and a clever AI feature supports individual or bulk post-trade reconciliations, giving you a complete and unbroken audit trail.
Conflicts of interest disclosures and gifts and hospitality declarations are submitted by employees through the platform, reviewed by compliance, and held in consolidated registers that are maintained automatically. Across a larger investment team, automated reminders prompt periodic declarations, so you are not chasing people individually, and you have a single, current view of where things stand.
Yes. You build your monitoring programme on the platform to reflect the risks and controls that matter for your firm, and the platform structures it, tracks findings to closure and produces the management information you need. The programme is yours; My Compliance Centre provides the infrastructure to run and evidence it.
Yes. My Compliance Centre is used by more than 200 regulated firms and over 10,000 financial services professionals, and asset managers are among the firms that rely on it day to day. It was built specifically for FCA-regulated firms, with the employee compliance, governance and monitoring obligations asset managers carry firmly in mind.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
Fill in your details and we will give you a call to arrange a demo. Alternatively, call us on +44 (0)20 8017 8273 or email info@mycompliancecentre.com.