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NSCP Offers Free Webinar: Managing Investment Compliance

September 16, 2015 @ 3:00 pm - 4:00 pm

On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath?

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 NSCP webinar will uncover 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.

Topics include:
• 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.

To register for this free event, click here.


September 16, 2015
3:00 pm - 4:00 pm
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NSCP – National Society of Compliance Professionals
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