Efficiently Aligning Registered Funds’ Compliance and Risk Programs
The SEC has fundamentally changed the rules to modernize the regulatory framework covering derivatives and to address how both derivatives themselves and the risks they pose to investors have changed.
Challenges arise as firms and funds try to minimize the operational disruption and additional costs regulatory changes can cause. Adding to their difficulties are compressed timelines and the not-uncommon need to handle several different mandate changes simultaneously. Overlay and intermingle all that with the IT infrastructure modernization initiatives – the digital transformations – that many firms have underway, and what looks like a fairly simple compliance program becomes a lengthy, complicated and expensive project.
Download this eGuide to learn:
What the rule change entails and the timeline for compliance
The challenges that arise in preparing for compliance
How Confluence's solutions are designed to meet today's compliance challenges