Our webinar, Managing Investment Compliance: Best Practices in an Evolving Environment, is now available on-demand! Co-sponsored by NSCP, and featuring expertise from State Street Corporation, this webinar is packed with information for asset managers and asset owners.
Uncontrolled library growth, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of the reasons that money managers miss violations and risk monetary and reputational loss. Without a rigorous, annual testing of the automated library and supporting data, the results portfolio managers and compliance teams rely upon are statistically likely to harbor error rates of 25% or more.
This webinar uncovers what you need to know to ensure that your compliance program is performing optimally and discuss solutions for libraries that have become difficult to manage.
- Best practices and workflow artifacts including “Guidelines Interpretation” workbook, data dictionary and testing
- Benchmarking data to see where you fit in the universe compared to other asset managers and owners
- The “when, who and how” of rule testing and the proper way to test and get results
- Outsourcing and SaaS – including what is driving this industry trend and key considerations for implementing and maintaining SaaS solutions