sec name rule extended
Tag 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 …
Continue reading “Mastering Aladdin Implementations – Best Practices & Key Insights”
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 …
Continue reading “The Importance of Ethical Compliance Practices in Asset Management”
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 …
Continue reading “The Impact of Emerging Markets on Investment Compliance Strategies”
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) …
Continue reading “Top Investment Compliance Trends to Watch in 2025”
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 …
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 …
Continue reading “The Importance of Proper Rule Naming in Investment Compliance”
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 …
Continue reading “The Role Of The Rule Coder In Today’s Investment Compliance World”
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 …
Continue reading “Violation or Trade Error? How to Avoid Costly Rule Coding Mistakes”