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Funds Risk & Compliance

Comprehensive solutions for companies exposed to European Fund regulations.

Leaders in due diligence and risk analysis

AIFMD & UCITS V Compliance 

Launched in 2014, Thomas Murray’s leading solution for Depositary Banks and Fund Management companies.

  • Expert risk analysis of markets and third parties, with ratings & benchmarking
  • Reporting for management and regulators
  • Supporting 40+ Depositary Banks today

Managed Due Diligence

Launched in 2021, a managed oversight and due diligence solution for Fund Management Companies.

  • Managed due diligence of Fund Administrators, Distributors, and others
  • Risk-based approach in line with Circular 18/698
  • Intuitive reporting for boards and regulators

Due Diligence & RFP Software 

Manage your own third-party monitoring, RFPs, and due diligence with our leading platform.

  • Issue questionnaires, manage projects, track responses, and assess providers
  • Automated, intuitive platform
  • 25,000 users globally

Cyber Security Ratings

Meet Information Security regulations by monitoring of your service providers.

  • Automated Security Ratings from 0-1000
  • Benchmarking, Reporting and Analytics
  • Build resilience with continuous monitoring for breaches and vulnerabilities that could be exploited

Leading RegTech solutions for the fund community:

Depository Banks

Since AIFMD & UCITS V, Depositary Banks have found it difficult to keep ahead of the regulations. Onerous oversight duties include due diligence of a fund’s organisation, procedures, and controls, as well as its service providers. 

Thomas Murray eases the burden on banks whatever their requirements, with our suite of software solutions, managed services, and expert risk assessments.

Fund Management Companies

UCITS Management Companies and AIFMs are under increasing regulatory pressure to monitor delegated activities such as fund administration, but they frequently lack the time, resource, and expertise to put a proper framework in place.

Thomas Murray’s managed due diligence service delivers a risk-based approach to monitoring these organisations, ensuring effective and efficient compliance.

Other Regulated Companies

Every regulated company has its own challenges. Typically, these can include legacy systems, manual processes, lack of expertise and lack of transparency from service providers and supply chains.

Thomas Murray helps Financial Services companies at every stage in this process. Built by regulatory and risk experts, our software solutions, managed services, and risk assessments are changing the way companies approach compliance.

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Monitoring & Reporting Solutions

Transfer Agent Monitoring

  • KPIs and RAG reports on 1000+ transfer agents across 50 markets
  • Managed service collecting data & evidence
  • Questionnaire set by expert working group of banks

Prime Broker Monitoring

  • Annual assessment of Prime Brokers holding clients’ assets in custody
  • Details reports on financial risk, asset safety, asset servicing and operational risk.
  • Risk scores & overall grade

Technology

Risk Intelligence

  • Centralise third party risk management in one platform
  • Selection, onboarding, ongoing monitoring and offboarding
  • Intraday data on thousands of companies

Cyber Risk

  • Automated Security Ratings from 0-1000
  • Benchmarking, Reporting and Analytics
  • Build resilience with continuous monitoring for breaches and vulnerabilities that could be exploited

Diligence

  • Advanced questionnaire and response platform.
  • Service provider selection projects through to ongoing monitoring.
  • Automate manual processes and improve efficiency.

Managed Due Diligence

Launched in 2021, a managed oversight and due diligence solution for Fund Management Companies.

  • Managed due diligence of delegated entities including Central Administrators, Distributors, Portfolio Managers, Depositary Banks, IT service providers, Investment Advisors, and Investment Managers.
  • Risk-based approach in line with Circular 18/698
  • Intuitive reporting for boards and regulators

Fund Management Companies are obliged under European regulation to perform initial and ongoing due diligence over external service provides to whom they have delegated functions, including:

  • Central Administrators
  • Distributors
  • Portfolio Managers,
  • Depositary Banks
  • IT Service providers,
  • Investment Advisors
  • Investment Managers

Due Diligence & RFP Software

Automated, powerful platform for due diligence and RFPs

  • RFP and due diligence tool for vendor selection, monitoring, and risk management
  • Issue questionnaires, analyse responses, manage projects, and assess providers
  • 30,000 users globally, across Risk, Compliance, IT Security, Network Management, and other teams

Visualise with dashboards

Thomas Murray - Risk Intelligences

Customise the information you want to display. Keep on top of your projects through live tracking and issuance management.

Issue Questionnaires

Thomas Murray - Risk Intelligences

Build your own or use pre-built questionnaires created by industry experts. Auto-scheduled issuance of questionnaires according to your framework.

Analyse responses

Thomas Murray - Risk Intelligences

Require and compare scored responses at an overall, sub-section, or individual question level. Override scores where necessary and dig into the detail with in-platform communication.

All your requirements in one single platform

  • IT Security Questionnaires
  • Vendor Risk Management
  • Operational Due Diligence
  • RFP/RFI
  • Investment Due Diligence
  • Inherent Risk Assessment
  • Custody Network Management
  • SLA Management
  • Data Privacy Management
  • Environmental, Social, and Governance (ESG) Monitoring
  • Client Surveys
  • Transfer Agency Monitoring

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Cyber Security Ratings & Threat Intelligence

Thomas Murray Cyber Risk is a powerful, automated threat intelligence and security ratings platform designed specifically for the financial services sector, which can enable you to:

  • Get visibility over your network by monitoring your public-facing IT infrastructure for new breaches, vulnerabilities, misconfigurations, and other issues
  • Prevent attacks and safeguard your reputation by remediating issues as they arise
  • Reduce your attack surface, benchmark against FS peers, set automated alerts and report to your board and regulators with confidence
  • Monitor third parties such as Investment Managers, Fund Administrators, Distributors, IT Service Providers, and others. Escalate to improve your supply chain security & meet delegate monitoring regulations.

Company Ratings from 0-1000, based on objective analysis of an organisation’s visible network footprint

Sector-by-sector benchmarking, showing how the organisation ranks against its peers and competitors

Server-by-server breakdown, with detailed information about potential breaches, vulnerabilities and misconfigurations discovered

Fully integrated with Thomas Murray’s due diligence and risk platforms, providing you with a holistic third-party risk management solution

Thomas Murray Cyber Risk provides automated, objective monitoring of your public network to identify, evaluate and resolve breaches and vulnerabilities before they are exploited, enabling you to make better, faster security decisions. Thomas Murray has reduced risk and built resilience in the financial services sector for over 25 years; our technologies are built with global banks, funds, and other financial institutions in mind, to meet the rigorous demands of an ever-changing threat landscape.

For more information about Risk Intelligence, contact our experts:

Derek Duggan

Director, Sales

+44 (0) 20 8600 2305