Investment Compliance

The EU and Luxembourg investment management regulatory frameworks not only provide market players with opportunities but also present compliance challenges. Managing compliance risks while catering various investors' expectations is the key challenge.

Playback of this video is not currently available


Asset Management Compliance Workbench

Our services

AM Compliance Workbench is a user-friendly web-based database designed to provide our client with information related to investment compliance of investment funds and especially in relation to UCITS.  

More precisely, you will find in the database:

  • Eligibility analysis of financial indices (equity, commodity and CDS indices);
  • Eligibility analysis of financial products (exchange-traded funds (ETFs), exchange-traded commodities (ETCs), closed-end funds, structured);
  • Eligibility analysis of financial markets (official stock exchanges, regulated markets and other markets);
  • Technical notes on the market practices related to the interpretation of certain rules, laws, regulations, eligibility of products and the strategy, CSSF positions; 
  • Library of legal texts and regulations regarding the market of investment funds (Directives, regulations, laws, ESMA guidelines, CSSF circulars, Q&A,...).

We organise training sessions and bespoke workshops:

  • Our training sessions and workshops are tailored to your company's needs.

We assist you in the form of ad hoc advice and analysis:

Product Developers and/or Investment Managers

  • We do eligibility reviews of sophisticated financial products and complex derivative instruments;
  • We support your company in the implementation of innovative investment strategies;
  • We perform comparative analyses to identify the most suitable legal environment for your new fund.

Legal Departments

  • We do prospectus reviews to make sure that your product is compliant with all the regulations, laws, directives and circulars.

Board Members or Conducting Persons

  • We perform an on-going eligibility review of specific assets, stock exchanges or regulated markets for you;
  • We analyse potential compliance issues;
  • We perform periodic reviews of fund portfolios.

Risk Managers

  • We perform reviews of risk management processes for sophisticated UCITS funds;
  • We review operational risk management frameworks for you;
  • We support you in the selection and implementation of risk management systems.

Compliance Officers

  • We interpret regulation applicable to your product and business;
  • We review your compliance control framework;
  • We assist you in the selection and implementation of compliance systems.

Contact us

Benjamin Gauthier

Advisory Partner, Risk & Compliance and Managed Services Leader, PwC Luxembourg

Tel: +352 49 48 48 4137

Stéphanie Jean

Advisory Managing Director, Risk & Compliance, PwC Luxembourg

Tel: +352 62133 22 83

Follow us