How to Get Better Control of Your Asset Management
Facebook LinkedIn As the Covid-19 crisis continues, maintaining operational control and oversight has become more critical than ever for asset management firms. With staff spread over multiple locations or working remotely, there must be a heightened sensitivity to cybersecurity to enable firms to project trust and stability in these trying times....
OpsCheck Spotlights Covid Needs: Data Security (6/6)
Facebook LinkedIn After five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and...
OpsCheck Spotlights Covid Needs: Business Continuity (5/6)
Facebook LinkedIn After five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and...
OpsCheck Spotlights Covid Needs: Investment Fraud (4/6)
Facebook LinkedIn After five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and...
OpsCheck Spotlights Covid Needs: Fees, Costs, Financial Transactions (3/6)
Facebook LinkedIn After five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and...
OpsCheck Spotlights Covid Needs: Personnel Supervision (2/6)
Facebook LinkedIn After five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and...
OpsCheck Spotlights Covid Needs: Investor Asset Protection (1/6)
FacebookLinkedInAfter five months of review, the SEC's Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have been challenged to maintain the high-quality service and standards their clients and the...
How to Scale Your Consulting Business?
Facebook LinkedIn Business growth can take on many different metrics that contribute to the success of a business. You may want to increase your client base, sell more products or services, innovate new products, or simply make more revenue. Your metrics for success will mean different things, almost always in relation to hitting goals or achieving your...
How to Improve Workflow Management for Accounting Firms?
Facebook LinkedIn The accounting and finance field is deeply process-oriented. You offer a service that entails a step-by-step chain of events to produce the desired results for your clients. On a daily basis, you might not think about this organizational process and structure, but it exists as a guidepost for every task performed. In organizational terms,...
How to Achieve Operational Success in 2020?
Facebook LinkedIn Every financial management firm is concerned about risk and efficiency. Not only do these issues elevate a company in the eyes of investors, they also contribute to successful execution and positive strategy outcomes. The tried-and-true approach to success will be internal controls and procedures that are well-defined and rigorous. With...
Keeping Your Legal Process Transparent and Consistent
Facebook LinkedIn Having a comprehensive legal framework at an asset management firm will ensure a consistent approach to documentation, transparency for auditors and investors, and reduce liability issues. Today's Investors are Savvy Today's investors have become much savvier in understanding the mechanics of asset management. They seek...
How to Improve Your Online Consultancy Business
FacebookLinkedInConsultant businesses providing quality, consistent advice and services need workflow management tools to support their business models. Modern workflow platforms have the versatility to provide a broad framework that can be tailored to specific business needs. With business processes that demand information from a variety of resources, the...
Workflow Management Tips for Accounting Firms
Facebook LinkedIn Accounting firms searching for workflow management tools for accountants and support staff need a finance-specific solution. The ideal system can be tailored for their particular needs in the context of the services they provide, including playing a role as a third-party service. Automation designed to support financial management firms...
Document and Process Management Elevate Asset Management Firms
Facebook LinkedIn Once upon a time, a "paper trail" meant just that - a comprehensive record of a process, its implementation, the results and the letters and reports that supported and analyzed them - all on paper. Today, of course, the means for archiving data and information have exploded in multiple directions. Paper trails now come in the form of an...
Conflicts of Interest in Asset Management
Facebook LinkedIn Conflicts of interest can destroy trust in an asset management firm quickly. Investor's interests should always come first, and even the appearance of a conflict of interest on the manager's part can raise concerns about transparency and trust. Establish Separation As part of a compliance program, asset managers establish strict...