sec name rule extended
Category Archives: Investment Compliance
Mastering Aladdin Implementations – Best Practices & Key Insights
Streamline Your Aladdin Implementation: Expert Insights from TillieStar’s Latest WebinarWebinar Replay with Joy Langdon and Luis Lorenzo Implementing Aladdin can significantly improve operational efficiency, data management, and compliance across financial services. However, successful implementation requires careful planning, collaboration, and ongoing oversight. Without a structured approach, firms risk delays, compliance gaps, and missed opportunities. In this …
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The Impact of Emerging Markets on Investment Compliance Strategies
Introduction In the world of global finance, emerging markets represent a dual-edged sword—offering unparalleled growth opportunities while posing unique challenges. For investment firms, this growth brings with it the need to adapt compliance strategies to align with regulatory frameworks and mitigate risks in these fast-paced, developing economies. As these markets become increasingly integral to global …
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Top Investment Compliance Trends to Watch in 2025
Investors and firms must be vigilant about compliance trends. Staying ahead is crucial for regulatory adherence and market stability. In 2025, compliance will be shaped by several key trends. This post discusses the top compliance trends to watch. Regulatory authorities are reinforcing due diligence requirements. Investment firms must adopt stricter procedures. Enhanced due diligence (EDD) …
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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 …
The Importance of Proper Rule Naming in Investment Compliance
Rule names matter. They drive your rule clarity, accuracy, and reusability. The rule name not only needs to explain the rule, but it also needs to explain the coding so that the correct rule is applied for monitoring. Different stakeholders read the name of the rule from different perspectives (e.g., a portfolio manager can view …
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The Role Of The Rule Coder In Today’s Investment Compliance World
In the complex landscape of investment compliance, the role of the rule coder is both crucial and unique. These professionals require a deep understanding of investment guidelines and regulations, interpreting both explicit and implicit mandates to mitigate risk effectively. A rule coder’s expertise ensures that compliance rules are tailored to the specific needs and challenges …
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Assessing the Impacts of the SEC’s Name Rule Amendments
The Securities and Exchange Commission (SEC) recently announced amendments to Rule 35d-1 under the Investment Company Act of 1940, colloquially known as the “Name Rule.” The rule compels certain funds to align their investment portfolios with their names. As the regulatory landscape evolves, it’s incumbent on Chief Compliance Officers (CCOs), Chief Operating Officers (COOs), and …
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The Impact of Artificial Intelligence on Investment Compliance
In the intricate world of investment management, compliance holds a paramount role. It ensures rigorous adherence to laws and regulatory standards, protecting firms and their clients from legal repercussions and financial losses. Traditionally, maintaining compliance has been labor-intensive, fraught with complexities, and susceptible to human error. However, the advent of Artificial Intelligence (AI) is reshaping …
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Adapting Investment Compliance Strategies in an Unpredictable Economy
In an era marked by sudden regulatory shifts and economic unpredictability, the asset management industry finds itself at a crossroads. Firms are navigating a labyrinth of new challenges that demand innovative compliance strategies capable of weathering any storm. At TillieStar, we’ve been at the forefront of aiding investment managers to evolve and adapt in this …
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