The Future of Investment
Compliance for Asset Owners

The Next Great Transformation

December 2014

For most of the past decade, asset owners and asset managers allocated valuable resources to establishing and improving their investment compliance programs.

Objectives have ranged from simple execution of processes allowing them to comply with investment policy requirements, to clear demonstration for audit purposes of strong alert and fail management procedures. In many cases clients can now easily produce reports and matrices that encompass any breaches and their resolution. Compliance reporting has evolved from obligatory reports quickly filed away, to “at your fingertips” information showing more comprehensive compliance results to satisfy internal monitors, auditors, investors and owners.

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