In today’s highly regulated investment environment, a strong compliance-IT relationship is no longer optional—it’s essential. As compliance rules grow more complex and technology platforms become more sophisticated, investment firms need tighter alignment between compliance officers and IT stakeholders to manage risk effectively and efficiently. But in reality, these two functions often speak different languages. While …
Category Archives: Compliance Management
A Compliance Health Check: How to Assess Your Investment Firm’s Investment Monitoring Risk Readiness
Investment compliance plays a pivotal role in protecting firm reputation, managing risk, and meeting client and investor expectations. For Chief Compliance Officers and Chief Operating Officers, assessing the effectiveness of monitoring systems, controls, and supervision processes is critical—not just to avoid missteps, but to ensure the firm is operating with transparency, consistency, and integrity. A …
The Importance of Ethical Compliance Practices in Asset Management
With the financial industry facing increasing scrutiny and evolving regulatory frameworks, maintaining ethical compliance in asset management has become a fundamental necessity. As regulatory scrutiny intensifies and investor expectations shift towards greater transparency and accountability, Chief Compliance Officers (CCOs) and Chief Operating Officers (COOs) play a crucial role in ensuring that their firms uphold the …
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Investment Compliance with Joy Langdon: Balancing Front Office and Back Office Duties
In my 22+ years working in investment compliance, a question I get frequently is whether investment compliance (or portfolio compliance) is considered front office or back office. My answer is always, “it depends.” While it’s tempting to say that compliance in general is a review of “after-the-fact” activities (think of other industries like Healthcare Compliance …
The Power of Investing in People: Why CCOs Need to Invest in Training for Their Investment Compliance Personnel
In the swiftly evolving investment landscape, the importance of specialized knowledge and continuous education for investment compliance personnel cannot be overstated. As Chief Compliance Officers (CCOs) face mounting complexities from factors such as crypto assets, share class structures, derivatives, ESG considerations, and AI innovations, their teams must be equipped to effectively monitor and manage these …
Violation or Trade Error? How to Avoid Costly Rule Coding Mistakes
It’s every compliance department’s nightmare: the discovery of an inadvertent trade error or investment violation on an account. The potential loss from such errors is limitless and can be catastrophic. During a recent training session at a client’s site, we used one of their rules to illustrate improvement techniques. This session revealed a coding error …
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Leveraging TillieStar’s FundDesigner for Efficient Compliance Rule Implementation
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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The Impact of Regulatory Changes on Investment Compliance Practices
At TillieStar, we understand that navigating investment compliance is fraught with complexity and continual change. In recent times, regulatory changes have significantly altered the landscape, requiring investment compliance firms to adapt swiftly to uphold compliance standards. Through our expert lens, this post will explore how these regulatory shifts impact investment compliance practices and how firms …
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How to Effectively Extract Rules from Source Documents
In an era where data is the new gold, effectively extracting rules from source documents has become a cornerstone for businesses aiming to sharpen their compliance strategies and streamline operations. TillieStar, in harnessing cutting-edge technology and deep insights, presents a comprehensive guide to navigate the complex terrain of rule extraction. Understanding the Importance of Data …
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Best Practices for Migrating to a New Investment Compliance Monitoring Software
As experts in the realm of investment compliance, TillieStar understands the sophisticated challenges faced by asset management firms during the transition to a new compliance monitoring software. These moves are never trivial and require a strategic, well-informed approach to ensure continuity, efficiency, and enhanced regulatory adherence. Herein lies the crux of our guiding principles and …
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