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

October 26, 2015
New White Paper: Operational Due Diligence 3.0

The latest white paper of our strategic partner Castle Hall Alternatives looks into how leading institutional investors are responding to a regulated and institutional alternative asset industry.

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