Compliance Archives | INDATA iPM Intelligent Portfolio Management Fri, 20 Sep 2024 21:38:31 +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 Cape Ann Asset Management Implements INDATA iPM Software Suite https://www.indataipm.com/cape-ann-asset-management-implements-indata-ipm-software-suite/ Tue, 15 Aug 2017 15:25:35 +0000 https://www.indataipm.com/?p=4380 Firm Utilizes INDATA for OMS, Portfolio Modeling, Compliance & More Greenwich, CT — August 15, 2017 – INDATA, a leading industry provider of software, technology, and services for buy-side firms, today […]

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]]> INDATA Enhances Platform for MiFID II Compliance https://www.indataipm.com/indata-announces-enhanced-platform-functionality-mifid-ii-requirements/ Tue, 14 Mar 2017 16:09:00 +0000 https://www.indataipm.com/?p=4272 iPM Epic Includes Enhanced Compliance, Data Management & More Greenwich, CT – March 14, 2017 – INDATA®, a leading industry provider of software, technology, and services for buy-side firms, today […]

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]]> SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare? https://www.indataipm.com/secs-proposed-changes-to-form-adv-time-for-rias-to-prepare/ Fri, 09 Oct 2015 08:31:30 +0000 http://www.indataweb.com/?p=2080 Good article in Institutional Investor regarding upcoming changes to form ADV. Among the salient points are that RIAs need to take stock of their reporting tech and also modify their […]

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]]> Middle/Back Office Systems Increasingly Important for Winning Mandates https://www.indataipm.com/middleback-office-systems-increasingly-important-for-winning-mandates/ Thu, 09 Jul 2015 02:21:28 +0000 http://www.indataweb.com/?p=2049 Great article in FundFire with the key quote being, “the distance between back and front office has shrunk.” We couldn’t agree more in terms of what we are seeing in […]

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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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]]> Improved Regulatory Tech Yields Increased Transparency https://www.indataipm.com/increased-transparency-the-byproduct-of-improving-regulatory-and-compliance-technology-at-buy-side-firms/ Thu, 31 Jan 2013 07:24:15 +0000 http://indata.binarym.org/?p=1367 Survey results revealed that investment management firms are as focused on client initiatives as they are on upcoming regulatory change.

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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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