The most effective instrument in investment

  • Governance and control to invest in permitted instruments
  • Adherence to rules and investment restrictions, as agreed with clients
  • Compliance with regulations for investor capital protection
  • Return and revenue generation
  • Issues can also arise when the rule in the compliance engine is coded to consider uploaded NAV/custom NAV that needs to be input manually
  • A trade entry keyed in twice by a trader with the same quantity can also cause issues, for example, if sell trades are keyed in twice and the position held turns negative in quantity and a short-sale alert is raised
  • Concentration rules may be raised even if there are no active transactions due to delays in refreshing the benchmark
  • Data relating to private securities cannot be obtained in a straightforward manner, due to their complex nature; this results in numerous issues in monitoring alerts relating to their security type

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Acuity Knowledge Partners

Acuity Knowledge Partners

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We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points. https://www.acuitykp.com/