1. Configure the rules according to the appropriate Law and prospectus describing the investments policy of each UCITS/UCI in an adequate system to be able to control the respect of the investment restrictions.
2. On a daily basis, perform the pre- & post-NAV controls to detect any non-compliance with the Investment policy of the funds.
Keep statistics of these controls for follow up and audit purposes.
3. Notify the Investment Manager and any other intervening parties in case of breach or potential breach in order to get it rectified.
4. In case of active breach, prepare and issue the notification to the CSSF according to the circular 02/77.
5. Be able to keep oneself up to date about any modification of the law, any rules/directives/opinions applicable to UCITS/UCI (UCITS V, SIF Law, AIFMD, ESMA guidelines, CSSF’s circulars, etc.).