Managing Compliance in a Changing Regulatory Environment

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 to significantly impact the way investment management firms handle their daily activities.

The purpose of this whitepaper is to develop a systemic framework to assist managers in assessing their compliance capabilities and to recommend workflows and solutions in specific areas to assist with compliance in a changing regulatory environment.

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David Csiki

Author

David Csiki is the Managing Director and President of INDATA, a leading industry provider of software and services for buy-side firms including trade order management (OMS), compliance, portfolio accounting, and front-to-back office technology solutions. Prior to joining INDATA, Csiki was Manager of Marketing and Investor Relations at NYFIX, Inc. and was instrumental in developing the product concept and planning the successful launch of the company’s flagship product, NYFIX, a FIX broker network.