Increased Transparency: The Byproduct of Improving Regulatory and Compliance Technology at Buy-Side Firms

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Lots of industry vendor news this week. Some worthwhile, some not. Investit’s survey results were interesting in that they revealed that investment management firms are as focused on client initiatives as they are on upcoming regulatory change. This make complete sense as, in fact, the two go hand in hand. Increased transparency is a byproduct of improving a firm’s regulatory and compliance capabilities. That’s where technology comes into play with the end result being better information for investors in terms of reports, data available in CRM’s, etc. All of which are client initiatives for the typical buy-side firm. After all, client reporting and CRM initiatives are only as successful as the quality of the data that can be pulled from underlying systems proving that core systems such as portfolio accounting, compliance and trade order management are essential for any successful client initiative involving reporting or CRM.