Tag Archives | Compliance

Beyond Compliance: Outlook for 2018

As we begin 2018, I am reminded of the remarkable evolution that has taken place in the fund servicing industry in the decade following the market downturn. It’s hard to imagine the pre-crisis era when static human disclosures and documents were considered good enough for regulators. The post-crisis shift in focus from investor protection to […]

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Regulatory Technology: Then and Now

Increasingly, regulators and the regulated, are embracing the ideology that technology can work for them to alleviate the pressure of the constantly evolving regulatory landscape. This new openness has led to the emergence of “RegTech”. Much like FinTech did a few years ago for financial services technology, RegTech marries technology and regulatory compliance functionality to […]

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REGTECH –The New Paradigm

Recognising the potential for technology to manage regulatory data and improve internal control and compliance.

Of the number of growing trends within the global regulatory arena, monitoring of systemic risk and data driven regulatory oversight are two of the most prominent, and to a certain extent are intrinsically linked. In relation to the latter, data driven/machine readable reporting is gathering momentum at an astonishing pace. The 2008 financial crisis, compliance […]

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What to Do When Your Data Warehouse Won’t Do

The asset management industry is going through a fundamental shift in its approach to data. Today, as data transparency and frequency demands from both regulators and investors become more important and the complexity of investment vehicles and strategies increases, organizations are facing a very real struggle when it comes to their traditional data warehouse operations. […]

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Take a Step Back

Ever since the beginning of the financial crisis the investment fund industry has been plunged into a period of intense regulatory remodeling that has created a sea of change for asset managers. Firms have been busy plugging the holes of their data management processes to comply with the ever growing number of data points they […]

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Insurers Next in Line for Regulatory Scrutiny

Regulatory challenges faced by the financial industry continue to expand with insurers next in line to face an increased focus on report preparation and risk analysis.  Under Solvency II, article 132 of the directive requires companies to invest only in assets and instruments that can be properly identified, measured, monitored, managed, controlled and reported. Meeting this […]

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Reading Between the Regulatory Lines

Even after seven quarterly filings of Form PF, many hedge funds, fund administrators and compliance advisors are still uncertain about the approach and methods to accurately calculate the answers to Form PF’s questions. Although the industry has matured significantly and the SEC has provided increased clarification on many of the details, the level of confusion […]

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It Turns Out You Can Have Your Regulatory Cake and Eat it Too

There are some well documented pros and cons to consider when making a choice between best-of-breed and fully integrated software solutions.  Best-of-breed software is easier to implement, custom fit to your purpose, and easier to update, but requires multiple vendor relationships, multiple stores of data, and multiple user interfaces to learn. Fully integrated solutions are […]

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