Risk advisory and due diligence for investors

我们可以帮助您进行尽职调查，降低投资组合和战略中的运营风险. 我们评估资产管理人, 托管人和其他服务提供者来帮助指导您的决策并实现您的治理目标. 我们还可以审查您的内部运营，以帮助确保它们符合美世的最佳实践.

Operational due diligence is critical for investments

Building and maintaining an investment portfolio requires significant work across many functions. One of the most important areas is operational due diligence. 在签约之前，试图获得对服务提供商的详细了解是一个多层次的过程，也是一个关键的过程. 在任命资产经理时, your operational due diligence process helps you understand their investment strategies, 结构, 资源, 政策, 系统和其他必需品.

When conducting due diligence reviews, 我们的主要重点是帮助您区分管理良好的资产管理公司和其他服务提供商，如托管人, from those that potentially expose you to increased and unnecessary risks and costs. We can help you assess these providers and support you with risk mitigation. 

Considerations when assessing service providers

Each time you appoint a new asset manager into your portfolio, you establish a fresh relationship with a new organisation. This brings challenges, risks, and opportunities.

我们相信，拥有强大的运营尽职调查流程对于使您的组织处于最佳位置，以实现您的投资目标，同时管理风险至关重要. 

我们的广泛评估可以帮助您区分管理良好、运营环境强大且控制良好的资产管理公司，以及可能使您面临不必要风险和成本的资产管理公司.

指定一个保管人意味着进入你将建立的最重要的关系之一. Your custodian is ultimately responsible for the safety of your assets, accurate processing and managing your investment data. 这包括支持您投资的日常运营的所有管理职能.

根据我们的经验, 拥有一个符合您当前和未来需求的保管人对您的组织的成功至关重要. 安全和健全的投资管理和内部控制是您投资安排几乎每一个方面的基石.

Four stages of a robust operational due diligence process

当您寻求任命最适合支持您的业务目标的供应商时，强大的运营尽职调查流程可以发挥重要作用. Four key areas of focus could help you uncover the necessary information:
  1. 了解运营模式 
    您将需要对您的资产管理公司(或其他提供商)的操作模型有一个全面的了解. 在这个初始阶段, you should obtain a top-level view of the organisation’s qualities, 文化和优先事项.
  2. Carry out on-site meetings where feasible 
    在评估服务提供商的文化和确定该业务是否拥有适当水平的资源来支持您的任务和更广泛的目标时，第一手探索服务提供商的工作环境非常有用. If feasible, and an onsite meeting can help you verify and validate your initial findings. 
  3. 记录你的发现 
    After completing your on-site review, 记录你的发现并记录任何额外的信息来支持你的决策是至关重要的. 准确记录您的运营尽职调查结果也将有助于向监管机构和利益相关者展示您的流程的稳健性.
  4. 计划你的下一步 
    One you have established a thorough and properly documented process, you should be well placed to take any subsequent actions and follow up on any areas of concern. Your operational due diligence outcomes should help you feel confident in making the right decision, in accordance with your specific risk appetite.

How we can support your operational due diligence needs 

Leveraging our extensive experience in the investment industry, we can help you gain a deeper understanding of your requirements. We have access to a deep insights base, including a proprietary database of industry practices as well as analytical tools. 我们的团队有50名专业人员1 are located across the Pacific, North America, Europe, and Asia regions. 

  • 操作风险评估

    我们可以帮助您开发符合您的治理要求和预算的操作性尽职调查流程. 我们针对美世最佳实践的评估流程和专有基准可以帮助您选择和监控满足您需求的服务提供商. 

  • 操作风险咨询

    Leveraging our operational due diligence framework, 我们可以对您投资过程中哪些操作需要改进进行评估并提供建议. We help you understand whether your existing operating model is appropriate and competitive, 相对于你的同龄人.

  • 托管人咨询

    We have extensive experience advising on custodian selection. 我们的评估流程和针对最佳实践的专有基准可以帮助您选择最适合您需求的服务提供商.

  • 证券借贷

    我们可以帮助您构建一个计划，以优化您的投资成本效益，同时也帮助确保您有合适的贷款机构来降低风险并实现您的绩效目标. 

  • 持续的监控

    我们可以帮助您建立持续监控，以帮助确保持续管理与您的投资相关的任何操作风险.

  • 当地的专业知识

    We have professionals around the world ready to support you. 我们可以评估您和您的服务提供商所在的不同监管辖区内可能遇到的区域细微差别. 

How we helped a global insurer with due diligence

一家全球保险公司和资产管理公司正在为其110多家第三方资产管理公司的投资组合寻求运营尽职调查支持.

内部审计发现，需要对外部资产管理公司的关系进行强有力的业务尽职调查和监督. This included an analysis of governance 结构s, 企业因素, 公司的声誉, 合规, 操作, 和环境, social and governance (ESG) capabilities. The client also wanted a risk scoring system to highlight areas of potential concern.

运营尽职调查提供商需要规模和专业知识，不仅要处理大量资产管理公司，还要处理客户本身的复杂性质. 

Working closely with client stakeholders, we were able to demonstrate a high level of professionalism and technical ability.

各种业务尽职调查产品的组合确保了客户能够满足其时间和预算要求.

Our existing database of operational due diligence reports was of significant use to the client, informing decision-making on legacy and new external manager appointments.

我们的团队为全球所有类型的管理人员提供稳健的运营尽职调查方法，这也使我们与众不同.

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$16.45T

US $16.45 trillion in global assets under advisement1

$379Bn

US $379 billion in global assets under management2

12K+

More than 12,400 investment strategies rated3

7K+

More than 7,000 asset managers rated4

* 1 2022年6月30日，  2 2023年9月30日  3 2022年6月30日，  4 2022年6月30日

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