Re-imagining compliance and controls for asset managers and their portfolios

Updated: Jun 6, 2021

“Prevention is better than cure.”

Dutch philosopher Desiderius Erasmus in around 1500

We believe that a truly great compliance and control platform has the following features:

1. It is holistic (covers all areas);

2. It is dynamic (provides real time visibility and control);

3. Saves time and effort; and,

4. Helps preserve portfolio value on exit.


A holistic compliance tracker is one that can capture all ongoing compliance obligations across an asset manager’s investment structures – be it tax, accounting, regulatory or others. It doesn’t matter where your SPVs are located and how many different types of filing obligations they have, a holistic compliance tracker must be able to track them all.

Dynamic and event based

Most compliance tools tend to be static and narrow in focus. A truly great one tracks events in investments structures and flags all the necessary compliance obligations that arise as a result. Here are a few examples of what a dynamic compliance tracker should be able to do:

  • If a company in your structure issued additional equity or debt, it can flag the necessary tax, legal, and regulatory obligations that arise as a result.

  • If there is a change in your lenders, flag the necessary withholding tax obligations that arise as a result.

  • Track the board composition of the companies in a structure and flag the necessary obligations that arise as a result of change in the board – e.g. regulatory filings, tax residency risk etc.

  • If you make an add-on acquisition that gives rise to a number of contractual obligations in the SPA, it should be able to help you track and manage these obligations easily.

  • If companies in your structures are liquidated or sold, automatically flag the necessary filing obligations and update your investment structure chart.

Broadly, a dynamic compliance tracker is one that is flexible enough to be programmed to track all the events in your investment structures and flag obligations.

Save time and effort

A great compliance tracker should save you time and effort, not add to it. In order to do this, it must have the following features:

  • Give you real time visibility and control such that you know where the gaps are and can close them out as they arise.

  • Give role based access to your service providers so that they can monitor events in your structures and make you aware of risks as they arise.

  • Act as an intelligent repository of all your compliance filings that is easily accessible both during the life of an investment and also during a due diligence exercise on exit.

Help keep your portfolios transaction ready

A truly great compliance tracker helps you track and manage risks as they arise, keeps your portfolios transaction ready, and preserves value on exit.

At DealsPlus we are re-imagining the way compliance and controls work for asset managers and their portfolios. Our ambition is to deliver a platform that maximises value for asset managers.

32 views0 comments