Compliance: The Five Red Flags

How technology can mitigate compliance risks

Technology is increasingly critical in controlling risks throughout the workflow, but there is no single “compliance solution” for automating the CCO’s job. Rather, systems designed to support different steps in the investment process—portfolio management, trading, reconciliation—should also have the benefit of improving compliance readiness and mitigating risk.

This report will help you identify the red flags in your workflow and will then outline the technology and functionality required to address them.


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