Capital Management Company and Fund administration in
Luxembourg

Capital Management Company and Fund administration in Luxembourg

We offer you a comprehensive service, from advice and conception of your product idea to the approval and launch process, portfolio management and fund controlling.
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consulting and support through the entire fund cycle

Our services as a Capital Management Company

With Hauck & Aufhäuser Fund Services S.A. in Luxembourg, we offer you a comprehensive service, starting with advice and conception of your product idea, through the approval and launch process, to fund management and fund controlling. You receive all solutions from a single source. We accompany you through the entire value chain, including all steps that are necessary and contribute to the successful performance of your fund.

  • Advice on the toolbox of our structuring solutions in Luxembourg, Germany and Ireland (UCITS, AIF, ELTIF, etc.)
  • Implementation and coordination of the entire launch process for our fund structures and securitization solutions
  • Preparation and coordination of all relevant fund documents
  • Implementation of the regulatory approval process for regulated products
  • Central point of contact for all questions relating to product launch
  • Coordination between the partners involved (initiators, law firms, tax advisors, auditors)
  • Ongoing monitoring and implementation of regulatory requirements for the products
  • Register and transfer agent function (settlement of unit certificate transactions) *
  • Cooperation with fund platforms
  • Reimbursement of sales commissions received on unit transactions and reporting of reimbursement of sales commissions *
  • Processing of sales follow-up commission
  • Payment to sales partners
  • Plausibility check of portfolio reports for settlement
  • Settlement reporting to sales partners and fund initiators
  • Monthly reporting of stock reports to the fund initiator

* These tasks have been outsourced to Hauck Aufhäuser Lampe Privatbank AG, Niederlassung Luxemburg. 

 

  • Independent Risk Management in line with applicable regulatory requirements, i.a. AIFM- and UCITS Directives as well as applicable local requirements, e.g. Luxembourg or Germany
  • Operational Risk Management on entity and product level
  • Continuous monitoring, support and advise during full fund life cycle
  • Implementation and application of adequate risk framework, covering at least the required risk categories and considering fund specificities such as e.g. fund structure, strategy, asset class
  • Setup and monitoring of fund specific risk profiles including quantitative and qualitative risk metrics and corresponding limits, where required and applicable
  • Stress- and backtesting
  • Post-trade investment compliance monitoring incl. e.g. leverage or SFDR related disclosures/ investment restrictions
  • Assessment of asset valuation methods and procedures
  • On-going, periodic or ad-hoc risk reporting
  • Active role and dedicated involvement within the overall outsourcing/ delegation oversight framework
  • Independent risk management in accordance with applicable regulatory requirements, including AIFM and UCITS guidelines and applicable local requirements, e.g. in Luxembourg or Germany
  • Operational risk management at company and product level
  • Continuous risk monitoring, support and advice throughout the entire life cycle of a fund
  • Implementation and application of an adequate risk framework that covers at least the required risk categories and takes into account fund specifics such as fund structure, strategy or asset class
  • Preparation and monitoring of fund-specific risk profiles, including quantitative and qualitative risk metrics and corresponding limits, where necessary and applicable
  • Stress and backtesting
  • Monitoring compliance with investment regulations, including in relation to leverage or SFDR
  • Review of methods and procedures relating to the valuation of assets
  • Ongoing, periodic or ad-hoc risk reporting
  • Active role and targeted input within the outsourcing/delegation oversight framework
  • Implementation of an internal valuation function which is independent from the portfolio management function and in compliance with AIFMD requirements
  • Establishment and application of the policies and procedures as well as valuation models for the valuation of assets in AIFs according to AIFMD
  • Involvement of investment advisors
  • Regular reporting to the management board of AIF and to the board of AIFM
  • Implementation of a clear and structured resolution process to address valuation- related queries or deviations from established valuation guidelines, ensuring swift and effective resolution.
  • Full preparation and control of the net asset value (NAV) calculation.
  • Calculation and publication of the daily tax ratios
  • Control and provision of the valuation rates
  • Reconciliation of the portfolio in cooperation with the custodian bank
  • Support for regulatory reporting in the respective distribution countries
  • Preparation and reconciliation of the accountability reports
  • Access to the HAL Investment Portal Luxembourg
  • Customized presentation materials for investment committee meetings
  • Provision of a comprehensive Net Asset Value (NAV)fund reporting
  • Preparation of Fund Factsheets
  • Fund price publication in the media of your choice
  • Individual reporting requests
We are at your disposal.

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