Post-trade compliance plan essential for investment management industry

By: Michelle Leung

In today’s increased regulatory climate, governments have been scrutinizing trades and transactions at traditional banks. The next wave of regulatory compliance is expected to happen in the investment management industry.

This makes it more important than ever to establish a framework for post-trade compliance. Firms must monitor changes (due to investment decisions) in a fund’s portfolio against pre-established regulations and investment restrictions. In addition, firms must be equipped to identify actual and potential violations that could result in harm to the shareholder.

A framework should cover the role and responsibility of compliance, the role of automation (manual processes are prone to human error and defeat the purpose of compliance), and the constant wave of new checks and regulations.

Perhaps most importantly, the framework should address the integrity of the data provided.

How can organizations ensure the integrity of the data being captured and reported? The answer is effective reconciliation processes - they safeguard the integrity of data and ensure the end-to-end workflow of data transformation is validated throughout an organization.

SS&C is a leading provider of compliance and reconciliation processes. Our state-of-the-art technology provides intelligent compliance and reconciliation checks, eliminates inefficient processes through automation, and allows data modelling so our clients can efficiently comply to new regulations and checks.

What differentiates SS&C from competitors is our level of expertise in the various disciplines that comprise the post-trade compliance and reconciliation workflow (data services, data analytics, exception management, operations, and tech resources). While our competitors focus on data management or application functionality, SS&C is the only provider that provides both technology and professional services to its clients.

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