Key compliance priorities of investment advisers: A short global overview

Andrea M. Bornatico

Journal of Securities Operations & Custody, 2018, vol. 10, issue 3, 210-221

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.

Keywords: compliance; supervision; regulatory filings; cybersecurity; cryptocurrencies; AML; GDPR (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2018
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jsoc00:y:2018:v:10:i:3:p:210-221

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