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Regulatory Compliance

Access tailored support for European fund regulations.

Over 40 depositary banks use Thomas Murrays products and services to monitor transfer agents and other post-trade entities, mitigating their counterparty risk exposure and that of their underlying clients.

Thomas Murray’s Orbit Risk provides a platform for effective counterparty monitoring.

Industry - leading technology counterparty monitoring.

Over 950 transfer agents monitored across 50 markets.

Proprietary methodology ensures regulatory compliance

Fund Management companies and Depositary Banks need a comprehensive view of the risks to which they are exposed by their downstream entities, their third and forth parties, Thomas Murray’s Orbit platform enabled them to comply with monitoring regulations.

AIFMD/ UCITS V Compliance.

Many European depositary banks use Orbit Risk to monitor their downstream service providers. Thomas Murray delivers all custodians, acting as Depositaries under AIFMD/ UCITS V, with a comprehensive solution to meet new requirements, through monitoring of capital markets and counterparty monitoring. Requirements include risk analysis, risk reporting and risk data capture to support the AIFMD/ UCITS regulatory compliance.

Transfer Agent Monitoring

Thomas Murray’s Transfer Agent Monitoring programme assists financial institutions with the regulatory requirements surrounding AIFMD and UCITS V. As institutions are increasingly conscious of the need to monitor their third-party services, the Transfer Agent Monitoring programme can benefit organisations looking for transparency in fund selection.

Prime Broker Monitoring

Regulatory requirements under AIFMD oblige depositary banks to monitor their delegates that hold client’s assets in custody. This service, created with industry consensus, applies a proprietary methodology to assess the risk that each prime broker poses overall and in four categories: financial, asset safety, asset servicing, and operational.

Management Company Solutio

Management Companies in Luxembourg use Orbit, combined with Thomas Murray Fund Solutions to issue proprietary questionnaires, to assess eight categories of delegated entity to ensure that they comply with CP 16/896. Manage financial crime risk by issuing the AML- Wolfsburg questionnaire using our Orbit Diligence platform.

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Resources for Regulatory Compliance.

Thomas Murray - News

Cyber risk

50% of cyber-attacks originate through a third party, but Network Management teams are not doing enough to protect their banks from high-risk providers.

Thomas Murray - News

Cyber risk

Philadelphia, PA June 7, 2022—The Business Intelligence Group today announced that Thomas Murray Cyber Risk has won the 2022 Fortress Cyber Security Awards in the Threat Detection category.

Thomas Murray - News

Cyber risk

Thomas Murray attended for the first time the InfoSecurity Europe 2022 event at the ExCel London on the 21st – 23rd June

For more information about Regulatory Compliance, contact our experts:

Derek Duggan

Head of Sales

+44 (0) 20 8600 2305

Albert Kwok

Head of Technology Operations

+44 (0) 20 8600 2357