Compliance and Risk Management

EFA's specialised business model, concentrating on fund administration, ensures best compliance practice of complete separation between fund administration and custody services, anticipating the regulatory trend to this effect.

In addition, as a provider of solely third party fund services, EFA has installed standardised control processes to ensure each client's fund is appropriately managed.


Legal and Contractual Investment Restrictions

On your behalf, EFA monitors compliance with legal and contractual investment restrictions, as set out in your fund's constitutive documents.

Using automated compliance tools, EFA monitors investment limits and produces timely alerts of any breach of investment guidelines. EFA provides online access to its tool for custodians and/or fund companies, enabling them to monitor the complete transaction cycle.


Anti-Money Laundering / Know Your Customer controls

EFA carries out anti-money laundering (AML) and other legal controls on investors:

  • AML checks on intermediaries and investors
  • Specific AML checks on non-GAFI intermediaries/investors and on suspicious transcations
  • Legal follow-up of inheritance, pledges and account blocking issues

Risk and Performance Analytics

EFA's clients need to track fund performance, see how investment decisions contribute to portfolio performance, identity sources of risk and meet UCITS IV requirements.

To help fulfil this need, EFA provides performance and risk monitoring through a supplementary business line, EFA Analytics. For a list of Analytics reports, visit the reporting page.


Eligibility of Financial Instruments

Within its Compliance and Risk Management services offering, and in line with the legal requirements, EFA offers its clients a comprehensive suite of services for asset eligibility including:

  • Full coverage of financial instruments
  • Eligibility status included in the standard compliance reports
  • Transparency of the eligibility status through an analysis report.