INDATA
The buy-side heads into 2026 facing a transformative period. Markets are volatile, operational costs continue to rise, regulatory expectations are tightening, and AI adoption has shifted from an experimental phase…
read moreAs the Financial Conduct Authority (FCA) moves to modernize the UK’s short-selling regime, investment firms face a pivotal moment. The proposed Short Selling Regulations 2025 (SSR 2025) represents the…
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Each role within an investment firm has defined responsibilities and mandates. Traders, portfolio managers, and compliance officers have different functions. However, they do have the shared goal of growing AUM…
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iPM Epic Clients offered new Global Shareholder Disclosure Service Leveraging Allen & Overy’s aosphere Rulefinder Greenwich, CT — February 2, 2016 — INDATA, a leading industry provider of software, technology…
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Investment management firms face a challenging environment. While market conditions are improving, greater demands for transparency created by the financial crisis have resulted in a new regulatory regime that promises…
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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. …
read moreEven 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.
read moreGreat 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…
read moreCompliance is being closely scrutinized by the SEC. The logic is that while failures in the compliance area do not necessarily mean fraud, this is the area where fraudulent activities can start.
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