The work repeats
Board packs, policy reviews, AML/CFT work, filings and audit requests return on schedule, even when the operating team is small.
For Luxembourg-regulated AIFMs
Compliance workspace for
lean fund teams.
Rootcaves helps smaller teams manage recurring obligations, evidence, approvals, board packs and audit-ready records in one compact operating layer.
Soft automation prepares the work. The CO reviews, decides and signs off.
Same duties · smaller team · audit-ready record
root·caves
GOOD MORNING
Two items need judgement. Everything else is watched and recorded.
AML/CFT · CO review
AMLA self-assessment — confirm three figures
Prepared from the working record. The CO reviews the exception; the evidence trail stays attached.
Due in 9 days
Review
✓ Beneficial-ownership review complete — no update required.
✓ 115 third parties verified · policy cycle recorded.
obligation→
evidence→
CO approval→
audit log
The fit
Same compliance burden. Less room to carry it.
Smaller regulated funds face many of the same review cycles, filings and audit expectations as larger operators. They need discipline without unnecessary system weight.
The record scatters
Documents sit in one place, evidence in another, approvals in email and deadlines in someone's head. The coordination tax becomes the work.
Automation should stay modest
Rootcaves prepares, reminds, drafts and records. It does not take the compliance seat. The CO reviews, decides and signs off.
Less system. Better file.
The point is not to create a second operating department. It is to make recurring preparation, evidence collection and approval visible before they become urgent.
The scope
A narrow operating layer for recurring compliance work.
Rootcaves stays deliberately contained: obligations, evidence, deadlines, documents, approvals and the audit trail.
Obligation map
The fund's recurring obligations are mapped once, then carried through deadline, evidence, review and sign-off.
CSSF · AML/CFT · AIFMDEvidence file
Evidence is attached to the obligation it supports, so audit preparation does not have to be rebuilt from memory.
Evidence · Approval historyKYC & AML
Investor onboarding, risk tiers and screening sit in the same working record as the related AML/CFT obligations.
Onboarding · ScreeningDocument preparation
Board packs, CO reports, policy reviews and letters start from the record, not a blank page or last quarter's file.
Board pack · CO reportReview calendar
Filing dates, board windows and policy cycles surface early, with context attached and consequences visible.
Filing · Review windowsGovernance record
Registers, resolutions, versions and approvals remain traceable without asking the team to manage a heavyweight stack.
Registers · Audit trailCO workspace
A daily brief, not another system to manage.
The CO workspace brings forward the few things that need judgement. Everything else stays watched, recorded and easy to inspect.
Today
Review items come forward with plain-language context. Handled work stays visible without creating noise.
Filing detail
Preparation, missing evidence and CO sign-off are separated, so the team knows what actually needs action.
Regulatory map
Luxembourg-specific. Realistic in its promises.
Rootcaves does not replace the CO, RR/RC, counsel or auditor. It gives recurring compliance work a source-mapped operating layer and keeps the human approval point explicit.
source requirement→
evidence expectation→
human review→
audit-ready record
SRRC annual report
Prepared from linked evidence, then held with review and approval history.
Circular CSSF 24/854SAQ preparation
Evidence expectations mapped section by section, with gaps made explicit.
Circular 21/790Annex IV filing
Field mapping, data checks and filing calendar context in one record.
AIFMD Art. 24Policy review cycles
Policies scheduled, versioned and routed through human-approved review.
Policies · Review cycles210+
Mapped obligation entries
35
Policy and control cycles
60–70%
Target reduction in preparation time
16
Repeatable outputs prepared
How it fits
Beside the tools and routines you already use.
No big transformation programme. No second department to administer.
1
Start with the working record
Use the documents, spreadsheets and stores already in place. Rootcaves organizes the compliance record around them.
2
Map what recurs
Obligations, deadlines, evidence expectations and approval points are mapped for the fund structure.
3
Let soft automation carry it
Rootcaves prepares drafts, watches deadlines, surfaces exceptions and records sign-off. The CO remains the decision point.
Human-approved automation. Useful where work repeats. Quiet where judgement is needed. Narrow enough for smaller teams to live with.
Review the fit
If the work feels institutional but your team is small, talk to us.
We can walk through your current compliance rhythm and show where a narrow operating layer would help, what should stay manual, and where soft automation is actually useful.
Opens an email to hello@rootcaves.com — a practical conversation about fit, current process and what should stay manual. We reply personally.