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 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.

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.

Wealth Management.com Magazine 2019 Midyear Outlook Featured Article

In today's financial landscape, increased regulations have led to a significant rise in the amount of time and money banks and financial institutions spend on compliance monitoring. To address the evolving pain points associated with an intensifying regulatory spotlight, investment management firms and financial institutions need tools that are uniquely positioned to focus on bank guidance from the Office of the Comptroller of the Currency (OCC) regarding asset management.

InvestEdge CTO Jeffrey Cowley discusses some of the current trends in compliance around centralization of activity, outsourcing, and business segmentation. Check out the full discussion courtesy of Craig Iskowitz, Founder & CEO of Ezra Group.

We surveyed users about their personal experience with InvestEdge's suite of Investment Technology solutions. Users across various roles weighed in on the top attributes of the InvestEdge application within their business.