Tag Archives: investment compliance

Rule Consolidation Best Practices for Investment Compliance Transitions

Managing a robust compliance rule library is essential to maintaining effective investment compliance monitoring systems. As firms evolve and onboard new accounts, their compliance rule sets often expand—sometimes unnecessarily. Without regular review and consolidation, rule libraries can become bloated, duplicative, and difficult to manage. When preparing for a migration to a new monitoring platform, every …

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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 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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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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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 …

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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 …

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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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