Service Overview
Reg Compass addresses the challenges of increasingly complex regulatory compliance in the investment management business and the chronic shortage of compliance professionals by providing high-quality compliance outsourcing services, enabling stronger governance and allowing our clients to focus on their core business.
Challenges Facing the Investment Management Business
Growing Burden of Regulatory Compliance
The laws, regulations, and schemes surrounding the investment management business have become more sophisticated and complex, and the rules that must be complied with have increased dramatically. Cases in which it is difficult to judge what is legal and what is not are also on the rise.
Shortage of Talent
There is a chronic shortage of professionals specializing in compliance, and personnel capable of handling global matters are extremely limited. This talent shortage creates risks of increased workloads on existing employees and inadequate internal frameworks.
Rising Costs
Due to the scarcity and rising salaries of compliance personnel and soaring system-related expenses, small and mid-sized investment management companies bear a heavy cost burden and face the dilemma of regulatory compliance costs squeezing their business performance.
Concerns over Violation Risk
If a violation of laws and regulations or misconduct occurs, there are serious risks such as suspension of business or revocation of registration through administrative action, as well as loss of public trust, which could deal a blow that threatens the very survival of the company.
Service Overview
Service Overview
Service Overview
Service Overview
Service Overview
Reg Compass’s Outsourcing Services
Reg Compass has completed registration as a “business undertaking investment management-related services” (tōshi un’yō kankei gyōmu jutaku-gyō), a category established under the amended Financial Instruments and Exchange Act that came into force in April 2025 (Director-General of the Kanto Local Finance Bureau (To-Ju) No. 2).
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Full Outsourcing
We take on the entire departmental function, from compliance planning to day-to-day monitoring. By entrusting compliance operations to a registered undertaker of investment management-related services, the staffing requirements imposed on an investment manager are relaxed, allowing you to build an organization that concentrates on investment management — the core business of an investment manager.
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Partial Outsourcing
Flexible arrangements tailored to your outsourcing needs are also possible. For companies that are already registered as investment managers, it is also possible to outsource compliance functions gradually while maintaining an in-house compliance department.
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