Ops Diligence reviews are conducted in close cooperation with our strategic partner Castle Hall where each review follows a consistent scope and methodology:

Each report addresses the business risks of the manager, the legal risks of the investment vehicle, and the operational risks of the control environment across a proprietary, 20 factor risk matrix:

Business Risks of the Manager:

Management company
Principals and key professionals
Assets under management
Human resources
Information technology
Regulation and compliance

Legal risks of the Investment Vehicle:

Corporate structure
Corporate governance
Terms of investment
Fees and expenses

Operational Risks of Control Environment:

Prime brokers, custodians and counterparties
Asset controls
Trading controls
Valuation controls
Net asset value controls
Financial reporting controls
Operational due diligence (Fund of Funds)
Due diligence transparency

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In the News

December 17, 2014
New White Paper: Never Underestimate Business Risks

Our latest white paper reflects on some recent news about an embezzlement case and other examples reviewed by SwissAnalytics historically which suggest to give business risks appropriate consideration.

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