On the face of it, automation in compliance may sound like an oxymoron. With the exception of investment compliance, where robust systems handle pre-trade and post-trade compliance, and personal trading, many other areas of compliance tend to have fragmented bespoke processes requiring significant manual intervention. In this CutterCast, we examine the degree of automation in different functions within compliance, including the management aspects. We’ll discuss the challenges that asset managers face and the solutions they employ.
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