Pre-trade Compliance is essential to investment performance and operational efficiency
Client and Corporate compliance guidelines represent commonly accepted constraints by Asset Managers. Interestingly enough, even today many Asset Managers fail to perform pre-trade compliance checks with regards to these guidelines.
Many Managers only perform post-trade compliance checks, often because they do not have the right data insight to do it pre-trade. While post-trade checks are important, pre-trade checks are crucial to investment performance and operational efficiency.
Regulation is an opportunity to gain competitive edge
New regulatory laws arise constantly, but instead of undergoing these regulatory changes, Asset Managers should use these new constraints as a powerful way to improve their management strategies, and differentiate from competition.
Legacy software is an obstacle to operational compliance
Corporate IT departments often have a tough journey promoting and monitoring operational compliance, mostly due to the functional gaps of legacy software. Working in an IT environment that is secure, audited and with high adoption rate among functional users are key factors that contribute to overall operational compliance.
Best-of-breed strategy can be an obstacle to compliance
When Asset Managers adopt a best-of-breed strategy, it becomes difficult for risk and compliance function to oversee all parts of the process and get a consolidated view across the business.
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