Key Investment Compliance Considerations for Pre and Post Trade Monitoring

Whitepaper

The asset management industry is navigating choppy seas amid the pandemic. The significant rise in trading volumes has resulted in an exponential spike in volumes of pre- and post-trade alerts. The pandemic has had a two-fold impact: an increase in pre- and post-trade volumes, and shrinking inflows and margins for asset managers. Cost management has led to a visible tightening of budgets and downsizing. This insight paper discusses the COVID-19 impact and solutions – not only to cushion the blows, but also help chart strategies to sail through this crisis.

Key Takeaways

• Pain points in managing pre- and post-trade volumes.
• Right team size – key in terms of guideline monitoring; we explain this in the context of the pandemic.
• The importance of data structure – the backbone of the pre- and post-trade functions.

Author

Gopal Venkatesh

Associate Director, Compliance

Gopal Venkatesh has over 12 years of experience in compliance, having worked for various firms including J.P. Morgan and Goldman Sachs. His expertise spans across the Investment compliance and Change Management. At Acuity Knowledge Partners he is responsible for management support of Investment Compliance Services. Gopal has done his MBA from Bangalore University.

Key Investment Compliance Considerations for Pre and Post Trade Monitoring