Aurora Capital Group initiates US entity registration and compliance framework design, establishes investment committee and risk control committee
In February 2019, Aurora Capital Group officially initiated the registration process for its U.S. entity in New York and simultaneously began designing a comprehensive compliance and governance framework across its entire investment ecosystem. This phase marked the company’s transition from cross-border investment research and infrastructure development to the core phase of legal entity and regulatory integration, laying the institutional foundation for future direct investment activities in the U.S. and international capital markets.
The registration process was led by Aurora’s New York team, which collaborated closely with several US law firms and compliance consultants. The process encompassed corporate structure development, application for relevant SEC licenses, establishment of an anti-money laundering (AML) program, and alignment with investment advisory compliance guidelines. When designing the structure, management explicitly mandated that all systems not only meet current regulations but also provide for future regulatory changes. This proactive compliance approach enabled Aurora to ensure flexibility and sustainability from the outset, rather than reactively responding to market and policy adjustments.
At the same time, the company established a dual committee system for investment decision-making and risk management. The Investment Committee, comprised of members of the core investment research team and external strategic advisors, is responsible for developing asset allocation strategies, reviewing major investment projects, and ensuring that the three-pillar investment research framework is fully reflected in actual decision-making. The Risk Control Committee, operating independently and reporting directly to the Board of Directors, is responsible for setting risk limits, monitoring market and liquidity risks, and conducting stress testing for extreme scenarios. This parallel structure not only avoids conflicts of interest between investment and risk management, but also ensures that every transaction undergoes multiple reviews before implementation.
To support the efficient operation of the dual committees, Aurora established a compliance and operations control center in New York and established a real-time data exchange mechanism with the Madrid office. This means that regardless of the time zone where the trade order originates, the investment and risk control teams can access the same market, position, and risk data within minutes, accelerating decision-making. The company has also introduced dedicated compliance management software to track investment activities throughout their lifecycle and automatically generate regulatory reports to ensure complete and timely disclosure.
In terms of management culture, Aurora also took this opportunity to solidify a highly transparent internal communication mechanism. Every major decision made by the Investment Committee requires a complete record of the discussion process, which is archived in the compliance system. The Risk Control Committee regularly publishes risk monitoring briefings, which are directly accessible to all employees. This information symmetry not only improves internal collaboration efficiency but also fosters greater team coherence in navigating complex markets.
The launch of this US entity registration and compliance framework design is not only a necessary step for Aurora to achieve global operations, but also a concrete manifestation of its governance philosophy. For a young asset management firm committed to achieving global allocation from dual hubs in the US and Europe, legal and compliance frameworks are not merely an operational accessory but a core driver of long-term, stable growth. In February 2019, Aurora Capital Group used this institutionalization process to clarify its position in the global capital markets: not only to achieve competitive investment returns, but also to set industry benchmarks in compliance and risk management.
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