Review of cash flows and assets under management

Type: Regulatory litigation
Sector of activity: Portfolio management
Size (sales in €m): Confidential

Context

The company conducts portfolio management activities in accordance with a license issued by the AMF (French market regulator)

  • The company’s offering includes i) mutual funds, ii) discretionary management of dedicated funds, and iii) advisory management
  • The company underwent a change of management following the departure of its CEO

Our mission

  • Analysis of assets under advisory management
  • Analysis of assets under discretionary management
  • Analysis of mutual funds

Results

  • Documented report making it possible to substantiate each of our findings
  • Support for the company in its exchanges with the supervisory authority: participation in a meeting to present i) our assignment and ii) our findings to the AMF (French stock market regulator)

Key success factors

  • Responsiveness and mobilization of a multidisciplinary team
  • High availability and involvement of the entire team
  • Full familiarity with the supervisory authority in order to best meet their expectations