Case Study

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Compliance Suite for Asset Management Firm


Situation

Our client is an established fund management firm that was re-launched in 2006 with a new management team and a group of around 50 professional investment advisers to offer high quality investment and wealth management services to high net worth individuals, charities and trusts. The firm first approached Eukleia in early 2007 to discuss compliance training options for a team that had rapidly grown to around 120 professionals.

The firm was looking for a flexible training solution that would include core compliance topics of AML, market abuse,  and conflicts of interest, plus a requirement for suitability training for its advisers. They also needed a solution that would provide recordkeeping and reporting capabilities, without a large administrative burden.

Solution

Eukleia provided the firm with a suite of "generic" compliance courses to start, and then tailored its courses to suit the firm's brand and policies. Each of the courses is delivered via Eukleia's LMS platform. The LMS is delivered as a hosted solution via the internet cloud, so that set up and deployment is quick and easy. 

Outcome

The firm has been able to rapidly deploy the compliance courses to its users, who can take the training courses at a time that suits them. A simple but powerful interface allows the firm's compliance administrator to assign training to new users, and report and track training completions with ease.  Since the initial engagement in 2007, the client has continued to use Eukleia as its preferred provider of compliance training solutions and has taken a growing mix of additional topics including fraud, client assets and bribery and corruption. 

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