In the world of asset management, the recent charges against Ken Leech, the former Co-Chief Investment Officer of Western Asset Management Co., serve as a
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
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
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
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
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
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
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.”
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
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
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
The asset management landscape is ever-evolving which means maintaining regulatory compliance has never been more challenging—or more critical. Chief Compliance Officers (CCOs), Chief Operating Officers
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