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Mensuel de avril 2022 - Fonds d’investissement

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The RC function, hallow or hollow?
A point of view from Isabelle ERPELDINGER, Head of Compliance AML at FundRock Management Company S.A. and Hervé BALLONE, Conducting Officer - Chief Compliance Officer MLRO/RC at CIM Europe - The Carlyle Group (Luxembourg); interviewed by Christopher BAUDUIN, Manager Consultant at Initio Luxembourg (Square Group).   The Regulatory Framework   The premise of “Responsable du Respect des obligations” (RR) and “Responsable du Contrôle du respect des obligations” (RC) takes root in the article 4 of the Law of 12 November 2004 as amended (“the AML Law”). Initially in this article, the CSSF mentioned that a “person responsible for compliance with the professional obligations as regards the fight against money laundering and terrorist...
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