Investment Technology Blog

Reference: Journal of Securities Operations & Custody Volume 14 Number 2 Abstract While the tsunami of regulation following the 2008 financial crisis has receded, compliance for wealth management companies continues to grow more complex. In recognition of the difficulty of meeting evolving standards and obligations, the US Government now offers incentives to companies that adopt technical solutions. RegTech that surfaces issues in a timely manner and holistically across an institution’s book of business is seen as directly correlated with transparency and accountability. It is also good business. Today’s solutions empower companies to streamline account management, reduce risk, lower cost and strengthen client relationships. The author shares best practices and important questions to consider when designing and implementing a 360-degree compliance programme.

PHILADELPHIA, PA—January 26, 2022— Snowden Lane Partners, a hybrid Broker-Dealer and Registered Investment Advisor financial services firm based in New York City, has gone live with the ComplianceEdge Trade Surveillance and Account Monitoring solution from InvestEdge. InvestEdge Inc., is a leading provider of innovative advisor and compliance solutions to over 100 wealth management firms.

Abstract Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surveillance platform was designed to deliver visibility onto processes across the technology value chain, while shifting work from the (expensive) front office to the back.

InvestEdge, Inc., the leading providing of Compliance software to financial institutions, announced today that Featheringill Capital has acquired a majority interest in the company. Senior management supported and participated in the transaction, as it allows InvestEdge to better serve its customers with enhanced products and support. Featheringill’s backing solidifies InvestEdge’s financial position and will provide access to capital for continued investment in the company’s products. As a result of this transaction, InvestEdge will be recognized as a majority woman-owned business.

InvestEdge CTO Jeff Cowley explains why it’s important to offer a Compliance platform that can holistically service SEC and FINRA based accounts, along with traditional fiduciary trust accounts regulated by the OCC Reg. 9 policy.

InvestEdge is thrilled to announce being chosen as one of Banking CIO Outlook's Top 10 companies at the forefront of providing Wealth Management Technology solutions impacting the marketplace.  

InvestEdge understands the uncertainty and concerns that the coronavirus (COVID-19) has for employees, customers and business partners. We’re committed to providing the same level of service that you’ve come to expect, even in these challenging times.

Wealth Management.com Magazine 2020 Market Outlook Featured Article

As we turn the page on a new decade, the time has come for wealth managers to revisit and update their compliance monitoring capabilities and processes.