Tag Archives: investment compliance

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 …

Continue reading “Investment Compliance with Joy Langdon: Balancing Front Office and Back Office Duties”

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 …

Continue reading “The Power of Investing in People: Why CCOs Need to Invest in Training for Their Investment Compliance Personnel”

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”

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 …

Continue reading “Assessing the Impacts of the SEC’s Name Rule Amendments”

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 …

Continue reading “The Impact of Artificial Intelligence on Investment Compliance”

2025 © TillieStar Compliance Solutions, Inc. All rights reserved.