Compliance exception management is an essential part of running a sophisticated investment organization. Exceptions are inevitable: a portfolio manager may request temporary relief from an internal restriction, a business unit may be unable to follow a standard procedure because of an unusual transaction, or a supervisory control may not be practical for a particular workflow. …
Continue reading “Compliance Exception Management: A Guide for Investment Organizations”
For a Chief Compliance Officer at a large investment organization, keeping up with regulatory change is only part of the job. The harder question is what happens next. A regulator publishes a new rule. Legal and compliance teams analyze it, interpret the requirements, and update relevant policies. From there, business owners receive notification, teams implement …
Continue reading “Compliance Rule Governance: Managing the Full Life Cycle of a Rule”
Most investment firms already have policies. The real problem is that many firms cannot prove those policies are actually operationalized. And increasingly, that’s where SEC scrutiny is focused. Under Rule 206(4)-7 of the Investment Advisers Act, registered investment advisers are required to adopt and implement written compliance policies and procedures that are “reasonably designed” to …
Artificial intelligence is no longer a future-state conversation for Chief Compliance Officers (CCOs) – it’s a present-day responsibility. Across investment firms, AI is being deployed in portfolio management, trading, compliance monitoring, marketing, and client communications. At the same time, regulatory expectations are accelerating – even without formal AI-specific rules. The result?A growing gap between AI …
Continue reading “3 Questions Every CCO Should Be Asking About AI Use Right Now”
Artificial intelligence is forcing a fundamental shift in how investment firms think about compliance. But the shift isn’t happening through brand-new regulation. Instead, it’s happening through something more subtle—and more powerful: 👉 The convergence of disclosure, data, and accountability under existing SEC frameworks. This is the new SEC reality. Firms are no longer evaluated based …
Continue reading “The New SEC Reality: Why Disclosure, Data, and Accountability Are Converging”
Investment compliance teams are under growing pressure to do more than simply keep pace with regulation. Today’s mandate is broader: enable scalable oversight, deliver real-time transparency, and align compliance insight with business performance. Technology decisions sit at the center of this shift. Whether firms build, buy, or extend compliance platforms now has measurable implications for …
Continue reading “When to Build, Buy, or Extend Compliance Tech: A Strategic Decision Framework”
Large compliance system migrations are rarely just technical projects. When thousands of rules, regulatory oversight, and day-to-day monitoring are involved, the margin for error is small—and the cost of disruption can be high. This case study outlines how TillieStar supported a Los Angeles–based client through a complex Order Management System (OMS) migration involving 5,000 rules …
How firms can strengthen compliance, reduce risk, and build regulator trust — with insights from industry expert Bryan Esposito. Personal trading oversight is no longer a “nice to have.” As firms face tighter regulatory expectations and heightened scrutiny around conflicts of interest, having a disciplined approach to monitoring employee trading activity has become essential — …
Continue reading “Implementing Personal Trading Oversight Systems: Lessons From the Field”
Overview When a Chicago-based investment firm faced growing uncertainty within its compliance department, they turned to TillieStar for clarity and direction. Their newly appointed Deputy CCO was concerned about gaps in oversight and effectiveness within the investment compliance monitoring team. To gain a clear understanding of where the breakdowns were occurring — and whether the …
As the year draws to a close, Chief Compliance Officers face a familiar challenge: balancing daily oversight with strategic year-end reviews. A structured year-end compliance checklist helps firms stay audit-ready, reduce risk exposure, and strengthen operational integrity going into 2026. With the SEC’s continued focus on governance, automation, and data oversight, this is the time …
Continue reading “The CCO’s Year-End Compliance Checklist: 5 Critical Areas to Review Before 2026”
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