Situation

Our client is a large international investment management firm. A significant amount of its customers have expressed, over the years, various restrictions regarding delegation of services and disclosure of sensitive data outside of Switzerland and to external partners. With a large variety of customer profiles, an increasing competitive landscape, an industry facing fundamental regulatory and structural changes, our client wished to clarify, reinforce and streamline its delegation and data disclosure procedures and policies in all its systems throughout the organization.

Approach

We reviewed in detail all systems and process flows for all functions from investment management to order settlement via trading, including invoicing, reporting and risk management, etc. We interviewed business owners and various users, and developed several frameworks to capture, classify and present all cases, whether actions where delegated or outsourced externally, locally or abroad.

Results

Our engagement resulted in a comprehensive set of rules applicable transversally across the entire organization and the firm's external partners, a list of specific and clear actions items to be carried out from organizational, educational, systems, data migration perspectives, with a clear implementation plan including dependencies and type of actions required.

35
people interviewed
11
clear actions items
1
implementation plan

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