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
In an industry where precision and adherence to regulatory requirements are non-negotiable, the necessity for robust and reliable investment compliance systems is paramount. TillieStar has
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,
2024 © TillieStar Compliance Solutions, Inc. All rights reserved.