Corporate finance  Asset management  Securities brokerage  On-line Securities Brokerage  Private equity  Insurance brokerage

Our business lines

The teams

Like the great houses of management, UCM’s organization is made up of business lines that are directly linked to the financial management of funds and mandates: The complementary nature of the talents and experiences of each member enables the best responses to be brought to the complex and varied problems that affect client's savings projects.

In parallel, Support Functions (administration and finances, management control, internal audits and checks, communication and marketing, human resources, legal, and information systems) grouped within Upline Group provide daily support to UCM in those areas, enabling it to focus fully on the financial management of investment vehicles aimed at clients.

Risk control is at the heart of investors’ concerns, and it is central to UCM’s organisation.

Risk control is at the heart of investors’ concerns, and it is central to UCM’s organization.

In a context of increasing market and counterparty risks, UCM has strengthened its verification procedures in order to better control risks attendant upon portfolios managed on behalf of clients.

Thus, UCM has set up an organization that allows risks to be checked and controlled at three levels.

Checking and controlling risks on portfolios comes under first-level control, which is part of a daily operational process that includes placing orders, checking the execution of orders, compliance analysis, pre-allocating orders, subscriptions and buy-backs, assessing and checking net asset value, checking regulatory and statutory ratios, monitoring management guidelines, monitoring performance, monitoring the fund treasury, anomalies, and all other checks required by the regulatory regime.

Permanent second-level checks are carried out internally by the Internal Control Manager:

  • Monitoring compliance with professional obligations as defined by regulations and by contractual obligations linked to asset management activities for third parties;
  • Monitoring the management company’s internal operations and procedures;
  • Ensure that identification, formalization, and dissemination is done in respect of procedures needed for the proper execution of transactions initiated by the asset management company, and ensure compliance with the said procedures in the context of permanent second-level checks (first-level checks being done by operational collaborators).

Periodic checks of compliance and of internal checks is also carried out at third level by the Upline Group Audit and Compliance Department.

Thus, UCM offers its clients strong guarantees in matters of security and transparency.

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