OpsCheck Spotlights Covid Needs: Investor Asset Protection (1/6)
FollowFollow 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...
How to Achieve Operational Success in 2020?
FollowFollow 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...
Third-party Vendors: An Asset Management Risk
FollowFollow All asset management firms use some form of third-party vendor services. Bloomberg provides market data. A proprietary software designer sells a risk control module. Trading platforms interact with banks and custodians. All of these components are...
How to Build an Effective Compliance Program?
FollowFollow From small boutiques to global giants, all financial management firms utilize third-party services to perform vital functions. Be it data providers like Bloomberg or risk control modules from lone independents, these outside vendors have become a seamless...
How to Start Working Remotely in 2020?
FollowFollow Everyone in the world of asset management understands the necessity of business continuity and disaster recovery plans. Authorizing regulatory bodies under the Security and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)...