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Buy-side compliance: Firms seek customizability and automation


It seems that compliance issues are never far from buy-side practitioners’ thoughts when it comes to the three main challenges they face every day: technology, operational efficiencies and data managment. That is because buy-side compliance functions—which typically entail establishing and adhering to extensive and complex client guidelines, industry regulations and in-house rules—are largely touched by and contingent on all three of these challenges. While compliance functions within some buy-side firms continue to be managed by spreadsheets and workarounds, regulators and end-investors are increasingly expecting greater levels of transparency underpinned by robust and sophisticated technology from managers.   

This survey sheds light on the types of systems already in place at buy-side firms, the efficacy of those systems and their compliance-related challenges—the most acute being the need to improve automation levels and the desire for system customizability. It also looks at the factors typically standing in the way of buy-side firms replacing their incumbent tools. 

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