Regulatory Consulting  

The investment management industry has recovered to pre-crisis levels. Although the outlook is positive there are still many challenges to overcome, not least the large scale regulatory reform activity in all corners of the world. New laws and regulations are regularly introduced. Consequently, organizations need to ensure effective compliance with increasingly varied and complex requirements.


Amongst the greatest challenges and opportunities for investment management industry professionals are dealing with these regulatory changes; transforming their business and operating models; improving governance; and breaking into new markets to grow their businesses.

Charles Muller


Head of European Centre of Excellence Investment Management Regulation

Tel: +352 22 51 51 - 7950


Anne-Sophie Minaldo

Tel: + 352 22 51 51 7909


Our expertise


  • Experienced advisers who are actively engaged with a wide range of market participants and supporting key project delivery enables our team to deliver pragmatic solutions to complex regulatory issues;
  • Relationships with key influencers including policymakers, regulators and trade bodies.


KPMG can help you


  • Evaluate the effectiveness of existing compliance policies and procedures;
  • Identify, verify, and even prevent breaches of regulatory requirements;
  • Provide advice on design of the compliance function and, when appropriate, assists with the design and implementation of specific reporting systems, process requirements, and compliance programs, including training approaches;
  • Keep track of regulatory developments and avoid last minute rush to compliance;
  • Take a proactive approach to compliance by assisting you in breaking into new markets and identifying new businesses/new products that may arise from the regulatory developments.


Related services


The continuously evolving regulatory environment in the Anti-Money Laundering and Counter Terrorist Financing area (AML/CTF), as well as growing pressure from the regulatory authorities, remains critical for all professionals, especially those operating in the financial sector.


New demands from the board, senior organizational leaders and regulators are requiring internal audit functions to refocus their efforts beyond regulatory compliance issues. Many leaders and regulators have recognized the need for internal audit to play an expanded role that builds on its historic focus on value preservation – a control focus- to encompass activities related to value creation – a performance focus.