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Diligence

for Asset Managers

Diligence lays the foundation for successful investing and should be implemented in all phases of the investment cycle.

To be effective, diligence programs must be relevant, operational, dynamic and practical.

Our experienced professionals provide specific governance, risk and compliance diligence services designed to minimize the risk of loss, maximize risk opportunities and drive stakeholder value—we will:

  • Develop robust, risk-based diligence programs designed to meet regulatory requirements, board oversight responsibilities and strategic business objectives
  • Diagnose existing diligence program activities to ensure they are relevant, cost-effective and aligned with organizational goals
  • Incorporate existing and new regulatory requirements, as well as industry best practices, so that your diligence program meets stakeholder expectations.

 

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Proprietary Services
ACTIVUS Fundraising Manager
Readiness Program For Assets Managers

Before investors commit capital, they often require asset managers to have robust governance, risk, compliance and operational programs in place. Our professionals have been on both sides of the fundraising process, so we know what information investors want and the most practical way to provide it—we will:

  • Assess fundraising readiness associated with your governance, compliance, operations and risk management programs
  • Perform a gap analysis to identify and remediate program weaknesses and gaps in stakeholder expectations
  • Implement internal controls to demonstrate ongoing compliance with policies, desktop procedures and side letter arrangements.
ACTIVUS Private Equity Manager
Portfolio Company Monitoring Program

Before investors commit capital, they often require asset managers to have robust governance, risk, compliance and operational programs in place. Our professionals have been on both sides of the fundraising process, so we know what information investors want and the most practical way to provide it—we will:

  • Assess fundraising readiness associated with your governance, compliance, operations and risk management programs
  • Perform a gap analysis to identify and remediate program weaknesses and gaps in stakeholder expectations
  • Implement internal controls to demonstrate ongoing compliance with policies, desktop procedures and side letter arrangements.

Whether your exit goal is a strategic sale, secondary buy-out, initial public offering or leveraged recapitalization, we can help with our proprietary ACTIVUS PRIVATE EQUITY MANAGER | Portfolio Company Monitoring Program. Our systematic approach focuses on GRC risks at the individual company, fund portfolio, add-on acquisition and GP levels—we will:

  • Develop a practical and sustainable GRC diligence framework
  • Diagnose common GRC risks and policy gaps, as well as opportunities
  • Ensure consistent treatment of GRC issues across same-sector companies
  • Leverage GRC-related cost efficiencies, such as lower insurance premiums
  • Mitigate legal and regulatory liability at the company and GP levels
  • Increase investor confidence
  • Reduce reputational risk
  • Support future fundraising efforts.
Other Services
M&A Diligence

Diligence is critical to any M&A transaction. However, a one-size-fits-all approach does not protect against key governance, risk and compliance issues. Simply checking-the-box fails to identify and tackle critical issues during one or more phases of a transaction and may lead to a failed transaction. Our specialists will help you identify and tackle key governance, risk and compliance issues throughout the M&A transaction using the following process:

We take a disciplined, multi-level approach that provides the following practical support to key stakeholders:

  • Senior Management: Develop and conduct diligence programs that are transparent, scalable and consistent across transactions.
  • Boards: Enable senior management, board directors and trustees to independently evaluate transaction risks, as well as better understand the risk management and execution controls in place to meet the strategic objectives of the transaction.
  • Investors: Assist in developing a best-in-class diligence program that promotes investor confidence in the transaction, while minimizing potential operational and reputational risks that may erode the short- and long-term economic value of the transaction.
  • Regulators: Demonstrate “Tone at the Top” and a strong Culture of Compliance by developing strategies for effectively integrating compliance and ethics programs and related infrastructure after the deal closes.
Sub-Advisor Diligence

Investment advisers conduct sub-adviser diligence for a variety of reasons—because of their statutory or regulatory duty to supervise, a contractual requirement or their fiduciary obligation. We know how to create practical sub-adviser monitoring programs that can be seamlessly integrated into a comprehensive compliance oversight program.

Our experienced team will design and implement a customized program to help your Chief Compliance Officer review, document and meet regulatory oversight requirements and annual board reporting obligations. Where applicable, our sub-adviser monitoring program will also assist your funds’ board in fulfilling their sub-adviser diligence and oversight responsibilities under Investment Company Act Rule 38a-1.

Service Provider Diligence

Your service providers should have a compliance program that conforms with federal, state and local securities laws. To make sure they do, our professionals will conduct independent diligence reviews. We can provide assurance that your service providers are fulfilling their responsibilities and legal obligations under related service contracts while also complying with your organization’s specific policies and procedures. We can also assist your board in reviewing, documenting and meeting required annual reporting obligations related to service providers, including fund oversight responsibilities of service providers under Investment Company Act Rule 38a-1.

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