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 always been at the forefront of navigating the complexities of investment compliance, and it’s our purpose to ensure that every asset management firm, big or small, can independently maintain the …
Tag Archives: investment compliance
The Impact of Regulatory Changes on Investment Compliance Practices
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, requiring investment compliance firms to adapt swiftly to uphold compliance standards. Through our expert lens, this post will explore how these regulatory shifts impact investment compliance practices and how firms …
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How to Effectively Extract Rules from Source Documents
In an era where data is the new gold, effectively extracting rules from source documents has become a cornerstone for businesses aiming to sharpen their compliance strategies and streamline operations. TillieStar, in harnessing cutting-edge technology and deep insights, presents a comprehensive guide to navigate the complex terrain of rule extraction. Understanding the Importance of Data …
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The Essential Guide for New C-Level Executives in Asset Management: The Case for Investment Compliance Consulting
As a new Chief Compliance Officer (CCO), Chief Operating Officer (COO), or Chief Technical Officer (CTO) in today’s rapidly evolving asset management industry, you are constantly confronted with a myriad of responsibilities. Among these, ensuring robust compliance systems is crucial to safeguard your firm’s reputation and operational integrity. While the temptation to focus solely on …
Best Practices for Migrating to a New Investment Compliance Monitoring Software
As experts in the realm of investment compliance, TillieStar understands the sophisticated challenges faced by asset management firms during the transition to a new compliance monitoring software. These moves are never trivial and require a strategic, well-informed approach to ensure continuity, efficiency, and enhanced regulatory adherence. Herein lies the crux of our guiding principles and …
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Elevating Client Success Through Strategic Partnerships and Transformational Projects
In the ever-evolving landscape of business, the power of authentic partnerships and collaborative solutions stands as a beacon for companies aiming for growth and success. At the heart of our mission is the unwavering commitment to not just being a service provider, but a partner vested in our clients’ victories. Our journey is filled with …
The Importance of Hiring Experts To Help You Navigate Your Compliance Solutions in Asset Management
In the complex and dynamic world of asset management, compliance is not only a legal requirement but a cornerstone of operational integrity and market competitiveness. The intricacies of regulatory frameworks, coupled with their continuous evolution, present a formidable challenge to companies aiming to navigate these waters successfully. This challenge underscores the paramount importance of hiring …
Oversight and Compliance: Getting the Complete Picture
ManCos, Asset Managers, and Depositaries should use automation and digitization to streamline processes and improve operational outcomes. Table of Contents 1.) Introduction: The Fund Servicing Landscape 2.) Compliance and Operational Challenges 3.) Building a Modern Risk and Compliance Function 4.) Why Linedata 5.) Appendices 1.) Introduction: The Fund Servicing Landscape Whether you represent a management …
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