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Key compliance priorities of investment advisers: A short global overview

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  • Bornatico, Andrea M.

Abstract

The recent years have been a busy period for any compliance officer, and the regulatory pace does not seem to be slowing down anytime soon. This paper looks to summarise the key compliance issues and challenges faced in recent times by investment management firms and the tools many entities are utilising used to tackle them. Finally, it considers what lies ahead on the regulatory horizon and the potential implications.

Suggested Citation

  • Bornatico, Andrea M., 2018. "Key compliance priorities of investment advisers: A short global overview," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 10(3), pages 210-221, June.
    • Handle: RePEc:aza:jsoc00:y:2018:v:10:i:3:p:210-221
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    More about this item

    Keywords

    compliance; supervision; regulatory filings; cybersecurity; cryptocurrencies; AML; GDPR;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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