Client background
A fast-growing investment firm with $5B AUM expanding across Asia-Pacific markets. Faced increasing regulatory scrutiny and needed institutional-grade risk management.
Challenge
Key challenges included: fragmented risk oversight across markets, inconsistent compliance processes, pending regulatory examinations, and need for board-level risk reporting.
Solution
Enterprise risk assessment and framework design
Regulatory compliance gap analysis
Risk governance and reporting implementation
Team training and capability building
Implementation process
Assessment
2 months- Current state risk assessment
- Regulatory gap analysis
- Industry benchmark comparison
- Risk appetite framework development
- Prioritization and roadmap
Framework Design
3 months- ERM framework development
- Policy and procedure updates
- Risk governance structure
- Reporting and metrics design
- Technology requirements
Implementation
5 months- Risk system implementation
- Compliance monitoring deployment
- Training program rollout
- Board reporting establishment
- Regulatory coordination
Outcomes
Risk Management
Established institutional-grade risk management capabilities
Risk Coverage
60% of exposures → 100%
+67%
Reporting Frequency
Quarterly → Real-time
+Continuous
Risk Events Identified
Reactive → 85% predicted
+Proactive
Compliance Performance
Achieved regulatory excellence across all markets
Compliance Score
72% → 98%
+36%
Regulatory Findings
8 issues → 0
+100%
Audit Observations
12 → 2 minor
+83%
“Their risk management expertise gave our board confidence to pursue aggressive growth. We now have institutional-grade infrastructure that exceeds regulatory expectations.”
David Wang
Chairman, Pacific Investments