A compliance program can look strong on paper and still fail in practice. Policies may be current. Procedures may be documented. Controls may have assigned owners. Compliance technology may generate alerts, surveillance reports, certifications, and exception records exactly as designed. However, none of those elements answers one of the most important questions a Chief Compliance …
Continue reading “Compliance System Testing: What Should Be Tested, When, and By Whom?”
For many investment firms, the answer to a seemingly straightforward question can reveal a much larger governance issue: Where do your compliance rules actually live? Ask different teams and you may get different answers. Some rules live in policies and procedures, while others exist in spreadsheets maintained by compliance. The order management system (OMS) may …
Continue reading “Is Your Compliance Platform Still Fit for Purpose?”
Artificial intelligence is rapidly becoming part of the modern investment firm’s operating model. Compliance teams are exploring AI to summarize regulatory updates, assist with marketing reviews, draft policies and procedures, organize due diligence, research regulatory guidance, and improve operational efficiency. Investment professionals are also using AI to accelerate research and synthesize information, while operations teams …
Artificial intelligence is rapidly transforming investment compliance. From automating rule monitoring to identifying potential breaches faster and improving operational efficiency, AI offers significant advantages for compliance teams navigating increasingly complex regulatory environments. However, implementing AI in investment compliance requires more than adopting new technology — it demands thoughtful governance, transparency, and robust auditability. Regulators are …
Continue reading “AI Implementation in Compliance: Governance, Explainability & Audit Trails”
Investment compliance onboarding used to be straightforward: learn the firm’s policies, memorize the escalation tree, shadow a senior analyst, and start reviewing exceptions. But as investment firms adopt more sophisticated monitoring—pre-trade checks, post-trade surveillance, exception workflows, dashboards, and rule libraries—training has to evolve. Today, the fastest path to readiness is onboarding built specifically for automated …
While compliance has not historically been associated with innovation, that perception is changing quickly. With AI, machine learning, and automation now playing a central role in how investment firms operate, the rules and the expectations are shifting. In 2025, investment compliance isn’t just a back-office function. It’s a frontline issue. The SEC is paying closer …
In the ever-evolving landscape of asset management, compliance remains a cornerstone. Chief Compliance Officers, Chief Operating Officers, and Chief Technical Officers, are continually searching for innovative solutions to stay ahead of regulatory pressures. Within this context, TillieStar’s FundDesigner is revolutionizing compliance rule implementation with its advanced AI-powered platform. Streamlining Investment Guideline Management The demand for …
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ManCos, Asset Managers, and Depositaries should use automation and digitization to streamline processes and improve operational outcomes. Table of Contents 1.) Introduction: The Fund Servicing Landscape 2.) Compliance and Operational Challenges 3.) Building a Modern Risk and Compliance Function 4.) Why Linedata 5.) Appendices 1.) Introduction: The Fund Servicing Landscape Whether you represent a management …
Continue reading “Oversight and Compliance: Getting the Complete Picture”
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