Compliance Insights
Whitepapers & articles reflecting the compliance pulse.
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Why IA’s are looking for compliance automation?
Investment advisers and registered hedge funds that are currently experiencing threats to their revenues are understandably reluctant to spend money on compliance management software. Yet the reality is that new regulations are inevitable as a response to the financial markets crisis, and compliance is going to require more resources. These coming changes will make it even more difficult to be a profitable firm, so choosing the right solution is important
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A Hosted Solution Revolution
Significant concern exists for investment advisory firms in addressing compliance requirements. Unfortunately, IT offerings have not, to this point, been able to provide a comprehensive solution at an affordable price-point. Although it is technologically possible to develop an IT solution providing comprehensive compliance monitoring, it often proves prohibitive because of the continually changing regulatory environment, the need for flexibility, and of course, cost considerations. A hosted solution over the Web can resolve many of these issues.
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Compliance Insights
Navigating the evolving regulatory maze
To assist investment managers in pro-actively navigating the risky and ever-changing market and regulatory environment and to provide an outline for a flexible and robust risk-based compliance management methodology.
Are you caught up in the rumors?
have you heard? Regulators have begun examining how firms comply with rules that prohibit the intentional spread of rumors intended to manipulate securities prices. This is the latest example of how compliance teams are being challenged to manage a growing list of compliance activities, often with the same headcount.
The challenges for Investments Advisory firms
Investment advisory firms face tremendous challenges in addressing compliance requirements. The costs associated with administering an effective program. The time needed for issue monitoring. The rapidly changing and increasingly complex regulatory environment. Demands from institutional prospects for proof of operational excellence. The need to demonstrate the effectiveness of programs to regulators. Addressing these issues takes time, money and expertise. Maintaining an effective program can be difficult for even the largest firms, so how do small and mid-sized firms stand a chance when faced with all of these issues?