The Importance of a Robust Compliance Framework for Asset Managers

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

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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/