Compliance Archives | INDATA iPM Intelligent Portfolio Management Tue, 27 Jan 2026 22:23:46 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.indataipm.com/wp-content/uploads/2025/11/cropped-IND-Ai_Logo_2019_Color-NewTag-01-e15785953126221-32x32.jpg Compliance Archives | INDATA 32 32 What Buy-Side Firms Really Want in 2026 https://www.indataipm.com/what-buyside-firms-want-2026/ Wed, 10 Dec 2025 22:20:28 +0000 https://www.indataipm.com/?p=9965 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 […]

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]]> Adapting to the FCA’s Short Selling Reforms: A Tech Perspective https://www.indataipm.com/adapting-to-the-fcas-short-selling-reforms-a-tech-perspective/ Fri, 31 Oct 2025 17:09:41 +0000 https://www.indataipm.com/?p=9930   As 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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]]> Collaborative Investment: Working with Traders, Portfolio Managers, and Compliance https://www.indataipm.com/collaborative-investment-working-with-traders-portfolio-managers-and-compliance/ Mon, 16 Dec 2024 23:05:48 +0000 https://www.indataipm.com/?p=9475 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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]]> INDATA Launches Compliance as a Service https://www.indataipm.com/indata-launches-compliance-as-a-service/ Tue, 23 Feb 2016 11:45:09 +0000 https://www.indataipm.com/?p=2344 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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]]> Managing Compliance in a Changing Regulatory Environment https://www.indataipm.com/managing-compliance-in-a-changing-regulatory-environment/ Fri, 08 Jan 2016 15:03:03 +0000 https://www.indataipm.com/?p=2395 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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]]> Data Governance Needed for Effective Compliance https://www.indataipm.com/data-governance-needed-for-effective-compliance/ Mon, 18 May 2015 01:02:17 +0000 http://www.indataweb.com/?p=1993 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.   […]

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]]> Technology is the Only Way to Meet Compliance Challenges Head On https://www.indataipm.com/technology-is-the-only-way-to-meet-compliance-challenges-head-on/ Tue, 01 Oct 2013 05:52:54 +0000 http://www.indataweb.com/?p=1632 Even 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.

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]]> Compliance: More Important than Ever in 2013 https://www.indataipm.com/compliance-more-important-than-ever-in-2013/ Wed, 16 Jan 2013 21:54:52 +0000 http://indata.binarym.org/?p=1343 Great 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 […]

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]]> Compliance Needs to be Integrated, Technology Can Help https://www.indataipm.com/compliance-needs-to-be-integrated-technology-can-help/ Wed, 30 Nov 2011 05:09:40 +0000 http://www.indataweb.com/?p=773 Compliance 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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