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Within Agama, all our staff will be happy to assist you
Meet our team…
Partners
Philippe Levrel
President
It all started with Deloitte & Associés in Paris. In 1999, Philippe was entrusted with audit engagements of asset management companies and investment products.
He then became Head of Compliance and Internal Control for entrepreneurial management companies from 2004 to 2009 (ACOFI Group and SPGP).
In 2010, he launched his own entrepreneurial venture and founded the firm Agama Conseil.
Louis-Grégoire LOGRE
Managing Partner
Louis-Grégoire started his career in 2002 with the French financial markets authority (Autorité des Marchés Financiers – AMF) and became Director of the Investment Services division in 2008.
In 2010, he joined a compliance and internal control consulting firm.
With this experience, Louis-Grégoire joins Philippe and Agama Conseil as a partner in 2013.
Managers
Services
As an independent firm, Agama Group provides long-term support to portfolio management companies, independent financial advisors and, more broadly, investment services providers.
We are committed to providing the best possible service to our clients and their investors in the areas of regulatory compliance, internal control and functional and operational organisation, by offering them tailor-made services, adapted to their expectations.
We have grouped them in 7 categories.
Management companies’ authorisations and extensions
From the preparation of the application file to the obtaining of the French Financial Markets Authority (Autorités de Marchés Financiers – AMF) approval, we assist you at each stage of the process:
- Assistance in drafting and updating the applications and related regulatory documents and facilitation of the relationship with the regulators,
- Research and documentation on technical or specific topics related to the organisation and nature of the planned activities,
- Supporting the presentation of new developments and projects to regulators,
- Assistance in responding to potential follow-up requests during the application and vetting process by the regulators,
- Sourcing appropriate service providers to perform required functions (custody, valuation, audit,…),
AUTHORISATIONS, TRANSFORMATION AND LEGAL LIFE OF INVESTMENT PRODUCTS
We assist you in preparing applications (initial or related to changes) and throughout the life of the products :
- Assistance in drafting or updating regulatory documentation (KIID, prospectus, regulations, statutes, subscription forms,…),
- Preparation of requests for product changes subject to pre-approval or ex-post notification with custodians and the AMF if applicable,
- Documentation on technical or specific points related to the investment strategy and contemplated underlying assets,
- Assistance in responding to the regulator’s requests during the authorisation/approval process,
- Assistance with the registration of foreign vehicles in France or Luxembourg,
- Preparation of the regulatory information to unitholders or shareholders,
- Handling of the legal life of the products.
ASSISTANCE DURING REGULATORY INSPECTIONS
Support and assistance with inspections conducted by the supervisory authorities and professional bodies :
- Review of documents and files communicated to supervisory authorities,
- Providing suggestions of relevant responses to questions asked,
- Support with individual interviews and hearings,
- Review of the compliance/audit report and assistance responding to control flags.
Is your company evolving ? We support you in defining, managing and steering your strategic projects
SUPPORT OF AND ADVICE ON YOUR PROJECTS
Support in your strategic projects, from definition and management to implementation :
- Mapping of relevant investment regulations, policies and practices,
- Analysis of challenges and impacts,
- On-demand technical and training materials,
- Feasibility analysis with respect to applicable regulations,
- Project alignment with effective governance,
- Support in selecting key service provides, vendors or partners.
Is your company evolving? We support you in defining, managing and steering your strategic projects
SUPPORT OF AND ADVICE ON YOUR PROJECTS
Support in your strategic projects, from definition and management to implementation :
- Mapping of relevant investment regulations, policies and practices,
- Analysis of challenges and impacts,
- On-demand technical and training materials,
- Feasibility analysis with respect to applicable regulations,
- Project alignment with effective governance,
- Support in selecting key service provides, vendors or partners.
Benefit from a strong and recognised experience, tailor-made support and assistance in the pragmatic implementation of your controls
DELEGATION OF COMPLIANCE AND INTERNAL CONTROL
A significant and recognised experience in internal control, in particular in assisting the design and implementation of a compliance and internal control program :
- Assistance with the design and implementation of the Compliance and Internal Control Program (“PCCI”),
- Formalisation of second level permanent controls and/or periodic controls tailored to the company’s specific needs and obligations,
- Formalisation of Compliance summary reports,
- Organisation and participation to compliance and internal control committees and presentation of the work performed.
INTERNAL CONTROL AND COMPLIANCE ASSISTANCE
A a strong experience in supporting and assisting Compliance and Internal Control Officers (“RCCI”/”RCSI”) in the completion of controls
- Defining and implementing compliance, internal control and risk management systems,
- Structuration des dispositifs de conformité, de contrôle interne et d’encadrement des risques,
- Supporting changes associated with regulatory developments,
- Assistance in the completion of controls based on the items and frequencies defined in the Compliance and Internal Control Program,
- Formalisation of reports intended for the AMF.
COMPLIANCE AUDIT
Assessment of the compliance and internal control framework for your regulated activities:
- Assessment of non-compliance risks taking into account authorisations, applicable regulations and professional rules,
- Identification of areas for improvement of the framework in order to comply with best market practices,
- Formalisation of audit summary reports,
- Organisation of and participation to dedicated steering committees and presentation of results and recommendations.
Let's formalise your operational arrangements together.
We review and write your procedures, policies and risk maps according to your activities, products and target markets
We review and write your procedures, policies and risk maps according to your activities, products and target markets
Tailored support in formalising your operational arrangements :
- Assistance in drafting and updating normative documentation (procedures, policies, regulatory and operational mapping),
- Assistance in defining internal rules of conduct and ethics.
By constantly monitoring regulatory developments, your company is always up to date with its obligations
An ongoing monitoring of regulatory developments :
- Establishing a regulatory hotline,
- Periodic regulatory watch alerts,
- Monitoring and alerting in relation to applicable regulatory deadlines
- Identification and analysis of specific regulatory points
Let's train your managers, directors and teams to fully master the requirements of the financial sector, its developments and its regulatory challenges
Facilitating regulatory training and regulatory challenges awareness sessions for your teams, on specific topics such as :
- Anti-Money Laundering and Combatting the Financing of Terrorism (“AML/CFT”),
- Market abuse,
- Sustainable finance,
- Investment product distribution schemes,
- New regulatory measures,
- Annual minimum knowledge assessment.
- Training for the Compliance and Internal Control Officer (“RCCI”) professional licence.
Training provider registered under no. 11 75 57739 75. Training delivered is not government-certified.
Always stay alert and assess your risks by keeping a clear and up-to-date view of your activities
- Mapping and definition of alerts, with automatic generation
- Choice of a risk management tool
- Production of periodic risk monitoring reports of institutional quality
- Setting up or redesigning of your risk management system
- Support to risk management teams: assistance on complex subjects and/or in periods of high activity (derivatives, liquidity, transaction costs analysis, stress testing, pricing, performance fees, etc.)
- Tailor-made internal pricing tools
-
Review of risk management processes across the value chain :
- Decision-making process (including analysis of unconscious bias)
- Selection and timing
- Execution (Transaction Cost Analysis – TCA)
- Position management (sizing)
- Help in defining and structuring new products in order to optimise their format
Always stay alert and assess your risks by keeping a clear and up-to-date view of your activities
- Mapping and definition of alerts, with automatic generation
- Choice of a risk management tool
- Production of periodic risk monitoring reports of institutional quality
- Setting up or redesigning of your risk management system
- Support to risk management teams: assistance on complex subjects and/or in periods of high activity (derivatives, liquidity, transaction costs analysis, stress testing, pricing, performance fees, etc.)
- Tailor-made internal pricing tools
-
Review of risk management processes across the value chain :
- Decision-making process (including analysis of unconscious bias)
- Selection and timing
- Execution (Transaction Cost Analysis – TCA)
- Position management (sizing)
- Help in defining and structuring new products in order to optimise their format
Clients
Financial centre
680
MANAGEMENT COMPANIES, generalists or specialists (active management, quantitative management, absolute performance, alternative management, private equity, real estate asset management, SRI…), including 200 created in the last five years.
450
more than
ENTREPRENEURIAL MANAGEMENT
COMPANIES
11 000
nearly
INVESTMENT FUNDS, of which 30% UCITS and 70% AIF (alternative investment funds)
4 355
bn €
UNDER MANAGEMENT
Source : AFG
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