All Research Sponsored By:Advent Software, Inc
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Succession Planning for Advisory Firm
Inside this white paper, learn how to meet the necessary compliance requirements that will ensure a smooth transition when planning for the succession of your advisory firm.
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Islamic Finance for Investment Managers
Islamic investment management today presents great opportunities, but setting up a compliant operation requires numerous considerations. Access this white paper to uncover 5 steps that will ensure a Shari’ah-compliant portfolio.
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The Top Five Corporate Actions of 2011 White Paper
Accounting for corporate actions accurately is one of the biggest challenges for investment managers, with significant portfolio valuation, performance and tax implications for investors. And its only going to get more challenging due to reporting requirements and mounting activity. Learn how to get a handle on the 5 most common corporate actions.
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Dodd-Frank Impact on Front Office White Paper
This paper identifies 5 key SEC alarms and explains how the right technology can support best practices to avoid triggering them. View now to explore critical issues including insider trading, books and records retention, service provider due diligence, and more.
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Social Media in Investment Management White Paper
View this paper to explore compliance challenges of the top 4 social media outlets, best practices for developing a comprehensive social media policy and more.
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Best Practices in Performance Measurement and Reporting: Understanding the Global Investment Performance Standards®
Whether you are just starting a compliance program or need to fine-tune your existing process, this document will help you understand the steps involved in becoming GIPS compliant. It is not a substitute for the Standards themselves. It is designed to help you understand the value of compliance, what’s needed to achieve it, pitfalls to avoid.
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Compliance: The Five Red Flags - How Technology Can Mitigate Compliance Risks Across Your Workflow
The challenge for Chief Compliance Officers is to understand the risks associated with each of these three drivers of compliance and how they can be mitigated. Read this paper to find out more.
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Back Office Outsourcing and Investment Reporting - A Guide for Investment Advisors
In investment reporting, customers expect detailed reports of irreproachable accuracy, delivered with no delay or excuses. This whitepaper will serve as as a guide for Investment Advisors.
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Portfolio Construction and Trading: Seven Key Factors in Evaluating Order Management Systems to Close the Gap
This document examines the current state of Order Management Systems (OMS) portfolio management capabilities, identifies major challenges and "pain points" that firms encounter, and outlines seven system attributes needed to overcome them.
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Data Conversion in a System Migration: Best Practices for Compliance and Continuity
This document is designed to help firms understand their data conversion options. It outlines what data is critical and must be converted for compliance purposes and business continuity, what data is not critical, the relationship between data conversion and reporting, and what to look for in a new technology provider relative to data conversion.