The Importance of a Robust Compliance Framework for Asset Managers

Regulatory scrutiny of the investment process functions of asset managers and investment advisory firms has increased steadily in recent years. This has led a growing number of firms to make their compliance processes more robust and inclusive. Asset managers are also seeing a strong need to take prudent measures in building and managing compliance functions in their trade allocation processes.

With regulators intensifying their efforts to combat misconduct, it has become more vital than ever to ensure fair and equitable trade allocation practices. This necessitates complete disclosure of allocation policies and procedures and diligent maintenance of books and records.

Acuity Knowledge Partners provides bespoke services to clients seeking effective monitoring of allocation and execution services. We create dynamic, tailor-made solutions with robust, responsive and proficient control frameworks and process delivery.

Key Takeaways

  1. Understanding the need for effective compliance in the trade allocation process
  2. Best practices to mitigate compliance violations in trade allocations
  3. Common types of trade allocation methodologies
  4. Present-day workflow management
  5. Noteworthy regulatory cases
  6. How Acuity Knowledge Partners can help

Originally published at https://www.acuitykp.com.

Author

Amandeep Singh, Assistant Director, Compliance, has around 11 years of work experience in the financial services industry and was with Goldman Sachs and AXA Group earlier. His expertise spans investment compliance/portfolio compliance, trade surveillance, transition management and people management. At Acuity Knowledge Partners, he is responsible for management support of Investment Compliance Services. Amandeep completed his Bachelor of Business Administration at Ness Wadia College of Commerce (affiliated to University of Pune), passed all CFPCM exams (FPSB India) and completed the CFA® Level II exam in 2013.

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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/

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Acuity Knowledge Partners

Acuity Knowledge Partners

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

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