ODD READY
Be ready before the institutional
ODD begins.
ORC helps asset managers identify and remediate operational gaps before engaging with institutional investors, strengthening operating models and preparing teams for the depth and scrutiny of institutional-grade operational due diligence.
Prepare for Institutional ODD
Identify the gaps before an investor does.
Institutional ODD can examine an asset manager in significant depth. Governance, people, controls, systems, third parties, policies and operating practices may all be challenged as part of the process.
ORC's ODD Ready solution replicates that scrutiny before a live investor review begins, helping managers understand how their operating model is likely to be assessed and giving them time to address material gaps in advance.
Why Prepare for ODD?
Institutional expectations
continue to evolve.
Even experienced investment firms can find it difficult to anticipate the depth, focus and current expectations of an institutional ODD process.
01
Identify
Gaps
Early
Assess weaknesses before they emerge during a live investor process, when there may be significantly less time to respond or remediate.
02
Understand Institutional Expectations
Benchmark governance, controls, policies and operating practices against the standards typically expected by sophisticated institutional investors.
03
Strengthen the Operating
Model
Use the exercise to make substantive improvements that strengthen the organization beyond simply preparing for one diligence meeting.
Mock ODD Assessment
We assess through an institutional investor's lens.
01
Governance & Organization
Ownership, organizational structure, senior accountability, committees, segregation of duties and key-person dependencies.
02
Operational Processes & Controls
Core workflows, control design, reconciliations, asset administration and the operational processes supporting investment activity.
03
Risk & Compliance
Risk governance, compliance arrangements, financial crime frameworks, regulatory oversight and associated policies.
04
Technology & Resilience
Systems, cybersecurity, information security, business continuity, disaster recovery and operational resilience.
05
Third Party Management
Selection, oversight and governance of fund administrators, custodians, technology providers and other material third parties.
06
Policies & Documentation
Review whether formal policies, procedures, charters and other operating documentation accurately support the business in practice.
Our Approach
Assess. Identify.
Remediate. Prepare.
ODD Ready is designed to replicate the institutional diligence process and then go further by helping managers address the issues identified.
01
Mock ODD
Complete a detailed RFI and documentation review followed by a targeted diligence meeting with relevant senior personnel.
02
Reporting
Receive an assessment designed to replicate the type of report an institutional investor could receive, highlighting material risks and weaknesses.
03
Remediation Roadmap
Translate findings into prioritized actions, including practical recommendations, responsibilities and implementation requirements.
04
Implementation
Support the manager in implementing improvements and preparing its team, documentation and operating model for future institutional scrutiny.
Beyond Gap Identification
We help implement the solution, not just identify it.
GOVERNANCE
Governance & Organization
Support changes to committee structures, accountability, delegated authority, organizational design and other governance
arrangements.
OPERATIONS
Processes & Controls
Develop workflows, controls and operating processes designed to address identified weaknesses and improve the resilience of the operating model.
DOCUMENTATION
Policies & Procedures
Draft or enhance policies, procedures, charters and operating documentation
required to support stronger institutional practices.
DELIVERY
Implementation Oversight
Provide ongoing project management, challenge and implementation support to help ensure agreed remediation actions are completed effectively.
Read More
Explore our ODD Ready solution in more detail.
Download our ODD Ready brochure for further information on ORC's mock ODD, remediation and implementation support for asset managers preparing for institutional due diligence.
ORC is a specialist consultancy supporting institutional asset owners, asset managers and asset servicers across due diligence, investment operations, and governance.
We help clients identify material risks, strengthen operating models and make better-informed decisions across the investment lifecycle.
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