REGULATORY & COMPLIANCE

By appointing KMG Capital Markets as your fully licensed Alternative Investment Fund Manager, you will fulfill your fund’s compliance requirements. Whether you are managing a long-standing fund or venturing into new territory, we will reshape your paperwork and procedures in-line with regulatory requirements.

Reporting
In addition to licensing benefits, we take the tedious, costly and time-consuming task of reporting off your hands. We manage all reporting requirements on behalf of the fund to our national regulator, but also to any regulators in which you market your fund to professional or institutional investors and to the country regulators in which your fund is regulated.

 

KMG carries out regular reporting as required by AIFMD for the use of:

  • European Systemic Risk Board (ESRB)
  • European Securities and Markets Authorities (ESMA)
  • AIF Board of Directors.
  • Annex IV

 

Risk Management

Our Risk Management team are dedicated to ensuring the protection of your fund. We oversee all responsibilities associated with the assessment, monitoring, and review of your funds risk. Providing regular updates to your governing body and senior management in accordance with our Risk Management System, which include tasks related to:

  • Implementing effective risk management policies and procedures
  • Ensuring that risk limits always remain in accordance with the risk profile the fund discloses to investors
  • Monitoring adherence to risk limits

 

Legal, compliance and regulatory compliance monitoring


This task covers anti-money laundering and counter-terrorist financing policies and procedures, remuneration policies, FATCA (Foreign Account Tax Compliance Act) and European Market Infrastructure Regulation (EMIR) compliance.

 

FATCA compliance includes:

  1. Reporting to the U.S. Internal Revenue Service information on the ownership of overseas assets held by U.S. investors.

 

EMIR compliance includes:

  1. Continuous assessment of sub-funds or Special Purpose Vehicles’ (SPVs) for compliance with EMIR regulations.
  2. Registration of any sub-funds or SPV’s that fall within the scope of EMIR regulations.
  3. Arranging International Swaps and Derivatives Association (ISDA) agreement with market-maker providing product within the scope of EMIR regulations
  4. Regular data reporting and reconciliation of eligible products as determined by EMIR regulation.

 

 

KMG Capital Markets Ltd (“Company”) is authorised and regulated by the Cyprus Securities and Exchange Commission (“CySEC”) with authorisation number AIFM 01/56/2013. The information contained on this website is provided for general information and does not constitute an offering or legal or other professional advice, nor does it constitute any form of personal recommendation. Accordingly, information on this website is merely intended to raise awareness of issues relating to the Company’s business and by accessing this information you shall be deemed to accept and agree to be bound by the terms of this notice. Information contained on this website is subject to change without notice. It is therefore advisable that the user reviews this Disclaimer and any other notices on this website on a regular basis so that the user is aware of any such amendments or modifications. The distribution of information contained within this website may be restricted in certain jurisdictions by law or regulation and, accordingly, parties who access it are required to inform themselves of and comply with any such restrictions that might apply. Parties interested in accepting any service detailed within this website should inform themselves as to (i) the legal and regulatory requirements within their country of nationality, residence or domicile; (ii) the tax consequences which might be relevant to the Company’s fund management services and; (iii) any other requirement or restriction which they may encounter. Therefore, the use of any information or materials on this website is entirely at your own risk, for which we expressly exclude liability to the fullest extent permitted by law. It shall be your own responsibility to ensure that any services or information available through this website meet your specific local requirements and/or restrictions. The entire contents of http://www.kmgcapitalmarkets.com/ are subject to copyright with all rights reserved. You may download or print individual sections of the site for your personal use and information only provided that you retain all copyright and other proprietary notices. You may not reproduce (in whole or in part), transmit (by electronic means or otherwise), modify, link into or use for any public or commercial purpose the site without the prior written permission of the Company. The information contained within this website is of a general nature and further information should be sought by contacting us with your specific requirements.
 
This website uses cookies. If you continue without changing your settings, we will assume that you are happy to receive all cookies on this website