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Investment Management



Meet compliance requirements across different jurisdictions and prevent personal and corporate liabilities

Investment companies need to be on top of compliance across multiple jurisdictions. Having a siloed approach to compliance when operating in different countries is an unnecessary risk for your business and can bring serious consequences, such as steep fines, reputational damage and personal liability for C-level executives. 

Clausematch helps organizations in the investment management industry to establish a single source of truth to effectively manage their policies, procedures and other business-critical documents across diverse geographies and product portfolios. Our platform sits at the core of compliance and allows them to establish company-wide templates and collaborate in real time to draft, edit, host and distribute policies, procedures and controls to the relevant teams, making sure that they operate safely at all times.

Why you should act now

Strengthen governance

Why invest in a policy and procedure management solution

When you have to manage thousands of documents, across different geographies and functions, it is difficult and ineffective to manually track dependencies between policies, procedures and controls. 

Having a specialized platform in place allows you to automate these processes and make sure that no relevant document is left untouched when regulations or business strategies change, and that the right actions are being taken across the organization.

Why Clausematch

Leverage Clausematch’s advanced metadata, and AI-powered mapping and tagging capabilities to connect policies, procedures, and controls down to a granular, paragraph level, and make sure no document is outdated.


Build trust with the Board and regulators

Why invest in a policy and procedure management solution

A tick-in-the box approach to compliance isn’t enough anymore. To protect their reputation and avoid incidents with regulators, investment companies need to be able to demonstrate how they achieve compliance.

A modern, fit-for purpose policy and procedure management solution allows you to be ready to evidence compliance to the Board, auditors and regulator, at all times.

Why Clausematch

Evidence compliance, with a complete audit trail that tracks and stores all modifications made to a document and allows teams to build reports and dashboards to demonstrate that staff is adherent and all is in place to meet the most recent requirements and guidelines.


Prevent liability

Why invest in a policy and procedure management solution

With regulators’ increased focus on personal and corporate liability - as seen in the Senior Managers and Certifications Regime (SCMR) in the UK, the DOJ’s changes to Corporate Criminal Enforcement Policies in the US, and the European Union’s recent proposal for corporate criminal penalties for sanctions breaches, amongst others, investment management companies need to make sure they are embedding compliance into the organization’s culture and that individuals are invested in doing the right thing. 

Failure to comply may result in personal criminal charges, significant fines and reputational damage for the company. A policy and procedure management solution can help you mitigate corporate and director-level liability by making sure policies, procedures and controls abide by the most recent regulatory developments and that staff is aware of what they need to do.

Why Clausematch

Leverage Clausematch’s data-driven, intelligent, automated reminders and workflows to stay on top of compliance and swiftly take control of every update in a timely manner. Disseminate the latest information to all staff at the click of a button and track adherence with built-in attestation.


A standardized approach to compliance

Why invest in a policy and procedure management solution

A siloed approach to compliance can put your organization at risk. Compliance, risk and audit functions can no longer afford to work separately and rely on manual processes as they deal with regulatory updates across different jurisdictions. 

A modern solution helps investment companies manage all relevant documents centrally and prevent different approaches from being adopted across functions and geographies.

Why Clausematch

Our platform allows investment companies to break down organizational and geographical silos by offering a standardized approach for policy and procedure creation, management and distribution across the organization. Templates can be leveraged to make sure all teams adopt the same format and tone to compliance documentation, regardless of where they are located.


A single source of truth

Why invest in a policy and procedure management solution

Investment companies are adopting a policy and procedure management platform to seamlessly manage the full lifecycle of each document, at local and group levels. This approach allows them to:

  • Establish a single source of truth for compliance

  • Make sure that local and group policies are aligned to the company’s strategies

  • Prevent the dissemination of conflicting or outdated information to staff

  • Eliminate inefficient editing and approval processes.

Why Clausematch

Clausematch allows investment management companies to automate and streamline processes, reduce time to draft, approve and review documents, with no additional resources, and slash costs by up to 30%.


6 reasons to invest in a policy and procedure management platform right now


Liability is getting increasingly personal

Chief Compliance Officers and Chief Risk Officers are being held personally accountable for lack of supervision when staff is unable to comply. It is more imperative than ever that the whole organization has access to the information they need to perform their jobs, that a full audit trail of every document change is in place and that staff attestation is effectively recorded. With a policy and procedure management solution in place, you can have full control of every document’s management lifecycle.


Avoid fines and the hidden costs of a compliance incident Financial services companies across the globe are constantly being fined by staff transgressions, such as the use of unauthorized social media at work and breaches in BYOD rules. There’s also the cost of investigations that is not usually mentioned by the media, as well as the costs of getting things fixed, ongoing reporting and monitoring. With an automated policy and procedure management system, you can make sure your compliance team is on top of updates and able to efficiently spread the word on what needs to be done to all members of staff.

Reputational damage can cascade into financial losses

Adopting the right compliance management technology can help you protect your company’s future, as failure to comply leads to reputational damage that can, on its turn, cause a domino effect, knocking down share prices and harming the company’s bottomline due to the loss of confidence from customers and partners. 


The Board is always looking for efficiencies and cost reduction Automating policy and procedure management has the potential to cut compliance costs by up to 30%, by reducing the back and forth in editing and approval processes, eliminating inefficiencies and allowing senior, more expensive staff to focus on strategic tasks.

Managing compliance across jurisdictions is complex Doing business across different geographies brings multiple challenges to driving compliance. You need to guarantee alignment between local requirements and group-level policies and with the volume of regulations we face today, manual processes won’t do the job.

Companies are imposing hiring freezes

By automating time-consuming, manual tasks, you can make sure your existing team is leveraged in the best possible way and is prepared to deal with an ever-increasing demand for compliance.

Meet some of our Investment Management customers

See how Clausematch works with other Investment Management companies

Clausematch is trusted by investment companies of different sizes and profiles across the globe. We work with large firms and startups alike, and the ones in between, to help them achieve their business goals in full compliance. 

"After completing the sandboxing and the testing of Clausematch's solution, we understood that user experience is what's key to all of this. The formatting of policies and the audit trail on Clausematch are really helpful. The way the platform works avoids a fragmented approach to naming, tagging, structuring and formatting compliance documents.”


Stuart Esslemont Global Head of Compliance

Get started with Clausematch

Book a 1:1 meeting to understand how Clausematch can help you meet your business objectives over the next year and beyond.