OpenList Services

Operational Due diligence (ODD) may take the form of either an on-site visit to the management company’s premises or a questionnaire sent to the management company.
This due diligence is designed to assess the management company’s ability to manage a fund from the perspective of operational risk management.

  • It includes a questionnaire relating to the management company’s risk management and internal control process;
  • the business continuity plan in the event of a disaster;
  • the computer systems and their integration;
  • the administration, valuation and order execution;
  • the brokers selection process;
  • the auditor and custodian bank;
  • the compliance, transparency and reporting processes;
  • various regulatory and governance aspects;
  • the structure of its shareholding and the clients base;
  • the alignment of interests with its holders and the application by the management company of the ESG principles.