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 Successfully managing compliance challenges requires both knowledge and strategic action. We’re excited to share this edition of our Compliance Newsletter, featuring a range of engaging articles and leadership insights. In this issue, we explore essential compliance topics, providing you with key takeaways and actionable guidance. With our team’s expertise, you’ll be better equipped to understand and address the ever-evolving compliance landscape.
Jehan Jeyaretnam – Head of Compliance Services
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Take full control of your marketing compliance review process with our expert managed services. BEAT AdInspect is an end-to-end automated workflow tool for submitting, reviewing, approving, and archiving marketing and advertising material. Get a free demo here.
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Top and trending: Hand-picked content carefully curated for you |
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| Streamlining investment-monitoring processes: overcoming operational challenges |
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Evolution of ESG fund labels – what investors need to know |
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Streamlining your investment-monitoring processes can save you time and reduce errors, but operational challenges can make it tricky. Here’s how you can overcome these challenges.
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The evolution of ESG fund labels reflects a growing emphasis on sustainability and ethical investing, and investors need to know about them more to make informed decisions.
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| Charles River Development – a one-stop solution |
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Managing client expectations: balancing flexibility and compliance in investment guidelines |
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The Charles River system automates compliance workflow, codes rules in different formats, tests rules and views results, and performs functions such as data analytics, audit history and reporting.
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It is easy to acquire new clients but difficult to retain them for long; the only way in which they can be retained is by continuing to ensure they are satisfied and by being proactive in managing expectations.
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| Mounting regulatory focus on voice surveillance |
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Guideline coding: The requirement and best practices to ensure robust monitoring |
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Voice surveillance, an extensive feature of monitoring, recording and analysis of verbal communication, has emerged as an effective tool for financial organisations - acting as a compliance and quality-control mechanism.
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Guideline coding is the foundation of investment compliance. To monitor client investments/requirements, the entire guideline needs to be defined on a compliance engine to capture the requirements appropriately.
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ABOUT ACUITY KNOWLEDGE PARTNERS
Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, data management, analytics, talent, and technology solutions to the financial services industry, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 650 financial institutions and consulting companies to operate more efficiently and unlock their human capital and transforming operations. Acuity is headquartered in London and operates from 16 locations worldwide.
Acuity was established as a separate business from Moody’s Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder.
For more information, visit www.acuitykp.com
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US: +1 929 618 0217 | UK: +44 20 7550 4499 | India: +91 80 6113 3000
Sri Lanka: +94 11 235 6000 | Beijing: +86 10 8248 6812 | HK: +852 3002 4980 | contact@acuitykp.com |
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©2024 Acuity Knowledge Partners. All rights reserved. |
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