Seismic change is afoot given the significant uplift in SEC proposed rules reinforcing investor protection and demands for transparency from asset managers. Meanwhile shifting demographic trends and geopolitics, plus a focus on launching sustainable products, will all put significant pressure on compliance programs and the systems that support them.
But get investment compliance right, and there’s a big opportunity to gain competitive advantage.
In this short paper, we look at the regulation and industry developments impacting investment compliance. We consider how the growing staffing gaps increase the challenge of applying compliance expertise to new requirements. And we discuss the role technology must play in being positioned to tackle these challenges head-on.
Investment compliance as it's always been done is no longer enough.
Read the whitepaper to learn more.
Linedata Compliance, trusted by over 70 firms worldwide, is a fully automated, highly scalable solution designed to bring transparency and efficiency to the compliance operations demands of wealth and investment managers.
For more information please go to Linedata.com/compliance or request a demo here.