MAKING THE MOST OF UCITS IV

CACEIS, your partner of choice for a successful UCITS IV strategy

reporting and risk management modules, taking into account the new challenges introduced by UCITS IV. More particularly, CACEIS is the partner of choice in UCITS IV (re-) structuring projects, from designing solutions to implementing best- suited operations, in order to allow clients to take full advantage of this new regulation. We are convinced that no one-size-fits-all solution exists and have designed an offer made up of flexible servicing blocks that may be combined in order to perfectly fit with each client’s specific situation, needs and objectives. In this brochure, we have segmented fund sponsors into five main profiles according to their current situation and their business deve- lopment strategies. Some of these fund sponsors are already intensive UCITS users, others are new entrants to the UCITS world. Therefore, some considerations are not directly linked to new UCITS IV topics, but are simply UCITS-related. However, we have judged it appropriate to cover these points since they are at the forefront of fund distribution strategies today. Furthermore, each asset management group has its own story and the reader may find it useful to adopt certain parts of other profiles. For each defined profile, this brochure examines the Management Company’s objectives and the possible strategies to reach them. We have analysed the many different schemes possible and have chosen

With the countdown to UCITS IV implementation well underway, it is time to consider the business options ahead. CACEIS, having been serving major clients in Europe for two decades has acquired a real expertise in UCITS funds and can assist you in many ways. Taking advantage of its historical presence in the major domestic and international fund centers in Europe and more recently of its strate- gic establishment in Hong Kong, CACEIS has developed an expertise in fund distribution throughout the years and already provides many clients with a broad range of fund distribution support services, such as registration and post-registration services, order gateway and mir- roring servicing, distribution networks, holdings and trailer fee mana- gement through an integrated package registered under the name of Prime TA ® . Moreover, CACEIS can offer a complete oversight and risk management infrastructure, which includes a fully-fledged UCITS com- pliant Management Company. In anticipation of the new UCITS IV requirements and expected trends in the fund industry, our of- fer has been enriched with additional services to Management Companies. We have notably developed a modular offer with regard to the Key Investor Information Document (KIID). We have also enlar- ged the scope of our existing fund structuring, project management,

Our approach by client profile

Management Company with a domestic fund range (incl. UCITS) which wishes to expand distribution to investors outside its domicile

Profile 1

Management Company with various fund ranges domiciled in several EU Member States which wishes to rationalise its f fund activity and centres of excellence

Offshore Management Company wishing to replicate its non-regulated funds in the EU, driven by business opportunity or regulatory requirements

Profile 5

Profile 2

EU Management Company with regulated non-UCITS funds wishing to launch UCITS in order to expand the scope of targeted investors

New entrant into the UCITS market: Non EU Management Company wishing to launch UCITS for distribution regionally or internationally

Profile 3

Profile 4

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