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CutterCast

Jun 24, 2021 10:30 AM - 11:30 AM ET    Online

Automation in Compliance

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SUMMARY

SUMMARY

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 operational functions within compliance, including the management aspects. We’ll discuss the challenges that asset managers face and the solutions they employ.