Posts Tagged :

    Compliance

    Cape Ann Asset Management Implements INDATA iPM Software Suite

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    Firm Utilizes INDATA for OMS, Portfolio Modeling, Compliance & More Greenwich, CT — August 15, 2017 – INDATA, a leading industry provider of software, technology, and services for buy-side firms, today…

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    INDATA Enhances Platform for MiFID II Compliance

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    iPM Epic Includes Enhanced Compliance, Data Management & More Greenwich, CT – March 14, 2017 – INDATA®, a leading industry provider of software, technology, and services for buy-side firms, today…

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    SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare?

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    Good article in Institutional Investor regarding upcoming changes to form ADV. Among the salient points are that RIAs need to take stock of their reporting tech and also modify their…

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    Middle/Back Office Systems Increasingly Important for Winning Mandates

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    Great article in FundFire with the key quote being, “the distance between back and front office has shrunk.” We couldn’t agree more in terms of what we are seeing in…

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    Data Governance Needed for Effective Compliance

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    Interesting article in FundFire recently regarding compliance.   Apparently, there is between a 25% and 40% rate of error in the coding of compliance rules within the typical investment management firm.  …

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    Technology is the Only Way to Meet Compliance Challenges Head On

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    Even for many boutique managers with traditional investments (i.e. those that do not manage derivatives or alternative investments) compliance is also a large area of concern.

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    Improved Regulatory Tech Yields Increased Transparency

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    Survey results revealed that investment management firms are as focused on client initiatives as they are on upcoming regulatory change.

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    Compliance: More Important than Ever in 2013

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    Great article today in FundFire assessing the state of compliance and employment opportunities for those with compliance experience. Among the key points made are that compliance is more important than…

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