Business need

A top Tier 2 European asset manager was already distributing in several European and two Asian markets. However, he was concerned about the risk of failing to comply with local regulatory requirements in these jurisdictions.The asset manager turned to FundGlobam for clarification.

FundGlobam's role

The FundGlobam fact files for each jurisdiction provided the necessary knowledge to comply with local regulatory requirements and manage distribution risks. In addition, FundGlobam proposed a training of several team members involved in fund distribution to familiarize them with the fact file structure and content. The asset manager was also provided with alerts on regulatory changes and updates of the FundGlobam fact files on an ongoing basis. In addition, the asset manager has unlimited free access to the FundGlobam helpdesk.


By making available the knowledge needed by each department of the asset manager with responsibility for fund distribution, such as management, legal, compliance and web, manager now has the capacity to master fund distribution compliance in its key markets. The asset manager makes regular use of FundGlobam’s helpdesk for any complementary questions it has.